Senior Vice President, Compliance
Salary SGD250000 - SGD300000 per annum
Consultant WeiYolk Loke (R1545553)
Date posted 27 January 2017
A prestigious and globally recognised asset manager is looking for a Senior Compliance professional to join their Legal and Compliance department. The Legal and Compliance department manages the legal, regulatory and compliance risks of the company and partners with the business to ensure that such issues and risks are dealt with and mitigated appropriately.
About the Senior Vice President, Compliance Role:
The role sits with the Code of Ethics & Compliance Controls team and at the SVP level, the successful candidate will have the opportunity to lead the team, with strategic oversight and execution of the company’s compliance programs such as in Financial Crime Compliance and AML/CDD. You will be managing a team of 4 and will be expected to present key compliance findings to the Board of Directors.
- Advise on and manage a broad spectrum of regulatory and compliance risk issues relating to policies in the company’s Compliance Manual and Code of Ethics on information barrier, financial crime compliance, conflicts of interest, gifts and entertainment, external activities and personal investments of the company employees
- Formulate, implement and perform periodic reviews of the compliance policies and controls to ensure that they remain in line with regulatory requirements and industry best practices
- Monitor and keep abreast of regulatory developments and assess impact on the business and compliance policies
- Implement the compliance training program on an ongoing basis to educate staff on the relevant regulatory developments and compliance policies and procedures
- Implement compliance monitoring and surveillance programs to monitor adherence to the relevant compliance policies by the company employees and address violations of compliance policies
- Identify and mitigate potential areas of compliance vulnerability and risks / gaps
- Collaborate with business units and other risk and control departments to address compliance issues and engender a culture of compliance within the business
To succeed in this Senior Vice President, Compliance role, you should have at least 15 years’ relevant compliance experience in the financial services industry.
- A Bachelor’s Degree from a good university, preferably in Accounting, Business, Finance or related discipline
- Strong analytical skills and clear thought process abilities
- Good working knowledge of the investment management industry, regulatory environment, and/or financial products and financial market processes
- Excellent written and verbal communication and interpersonal skills
- A proactive and highly-motivated person who is driven for results
- Team leadership experience
The role offers immense potential growth opportunities and a great platform to drive strategic compliance initiatives within the firm. The global fund manager has offices across the globe but the HQ sits in Singapore. Strategic initiatives/projects are developed in Singapore and rolled out across the different offices. The organisation offers a stable work environment, however all employees are expected to be highly dynamic and capable.
If you are a driven and highly capable individual and you're currently on the lookout for your next challenge. This role could be right for you.
Apply now or call to discuss this opportunity today.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1545553 Wei Yolk Loke