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As part of the Financial Markets Compliance team, the incumbent will be responsible to provide compliance advisory, support and control to the Financial Markets business in the Asia ex-Japan region.
The successful incumbent will be responsible for reviewing new product/business requests from business and advising on any necessary controls / policies & procedures which would need to be put in place; Responsible for providing support to regional and global compliance projects/initiatives; and to performing compliance review and risk assessment to identify gaps and make recommendations;
Plan, lead and conduct independent regulatory compliance review to assess if the business is operating in line with relevant laws, regulations, codes
Identify regulatory requirements and firm policies relevant to review topics, which mainly focus on equities and FICC sales and trading, through discussion with country, product and other compliance teams
Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls and provide assurance for business and Compliance Management to ensure the compliance risk is managed as per Global Procedural Standards and best practices.
Work closely with senior management to validate sustainable resolution of identified issues and key business stakeholders to provide advice and guidance on regulatory compliance matters
Provide regional support and oversight for country teams on Global Markets Compliance Monitoring and Testing activities and coordinate and manage global and regional project initiatives
Responsible for major asset classes from sales and trading, including Equities, Fixed Income (Credit and Rates), Foreign Exchange, Institutional and Corporate sales
To qualify for this role, you must have the following requirements:
University-level Degree preferably in a relevant discipline (Finance, Accounting, Business, Legal);
6-8 years working experience in global markets compliance, legal or regulatory functions possessing a broad range of financial markets knowledge
Strong interpersonal skills, with the ability to communicate effectively with different stakeholders
Knowledge of risk and control framework or procedure of a financial institution
Strong analytical and problem solving skills
Able to work independently, able to multi-task and work under pressure
If you are interested in this role, please send your cv to email@example.com. Only shortlisted candidates will be notified.