AVP - Compliance Control Room
Salary Market Aligned
Consultant Gavin Izon (R1659143)
Date posted 04 December 20192019-12-04 2020-02-02 banking Singapore SG SGD 120000 130000 130000 YEAR Robert Walters https://www.robertwalters.com.sg https://www.robertwalters.com.sg/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A newly created AVP - Compliance Control Room job is now available within the central compliance team of a global banking organisation.
About the AVP - Compliance Control Room Role:
The Control Room is responsible for administering compliance programmes with respect to the use and protection of confidential and material non-public information, managing certain conflicts of interests, aggregation of securities, insider trade reporting and personal trading and outside business activities.
- Administering the following compliance programs managed by the Compliance Control Room: list maintenance (for example, watch, restricted, rating change, ownership limits, NI 81-102, SMCAI and window periods), wall crossing, conflict management, research (including equity and fixed income disclosures), regulatory requests, insider trade reporting (Bank), and securities aggregation (including proprietary trade pre-clearance)
- Assisting in preparing responses to inquiries from regulatory bodies as they relate to Control Room functions
- Assisting the Senior Manager in the development of internal policies and procedures to enhance the effectiveness of program delivery and reflect changes in regulatory requirements
- Contributing to the delivery and successful implementation of new technology
- Acting as the subject matter expert and fields questions on issues of interpretation with respect to the policies administered by the Control Room such as determination of materiality, determining whether trading restriction should be imposed or to interpret elements of the employee personal trading policies
- Identifying opportunities to use technology to enhance Control Room program delivery
- Providing ongoing updates, support, and product training to the members of the Control Room throughout the various stages of product testing and implementation. Developing communication and participating in training for the roll out of new technology systems to the business users
- Supporting the APAC Central Compliance team and Asia Control Room in matters relating to administration, review and coordination work pertaining to key regional Compliance policy and procedures, including gifts and entertainment, employee personal trading, outside business activities, complaints handling, whistleblowing, and incident management handling, as well as regional and Enterprise Office reporting
To succeed in this AVP - Compliance Control Room role, you will need experience of working in a Control Room environment and a thorough understanding of global markets products.
- Post-secondary education and/or professional designations
- Minimum of four years' related experience at a major financial institution
- In-depth knowledge of regulatory and compliance requirements and issues in the Global Banking and Markets business lines and the securities industry
- Knowledge of industry practices regarding institutional compliance matters
- The incumbent handles sensitive and confidential information and must have a high level of integrity
- The ability to act independently and arrive at conclusions or recommendations based on the exercise of good judgement on moderately complex decisions falling within standard policies and escalate matters beyond existing policies
- Ability to identify potential conflicts of interest and escalating the management of these conflicts as required
- Ability to apply regulatory requirements and policy guidance with minimal supervision, provide advice to senior professional staff in the various business units, and identify, investigate and escalate any exception conditions to the Senior Manager or Director, Control Room
This role is a great opportunity to be part of an excellent organisation with a strong presence in the region.
If you have the above skills and experience and are ready to take the next step in your career, this AVP - Compliance Control Room role could the opportunity you have been looking for.
Apply today or send me an email for more information.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1659143 Gavin Izon