- Salary: Undisclosed
- Work Type: Permanent / Full Time
- Min. Education Level: Degree
- Field of Study: Banking & Finance
- Years of Experience: 5
- Skills: Control Room, Compliance, Banking
This is a new headcount, tasked to set up the Control Room Frameworks for Singapore and to assist in the management, operation and monitoring of Group-wide and business unit compliance policies and procedures within the Group Control Room. Focus on conflicts of interest including, transactional, principal trading, personal account dealing, Chinese wall requirements, directorships and external business interests, with specific coverage for Asia.
Our client is a mid-sized International Bank with coverage mainly in Corporate & Institutional Bank, providing services including International Trade, Foreign Exchange, Debt Markets and Transaction Banking
The main responsibilities of the role include:
- Assist with management and operation of the Group Conflicts of Interest Framework, training and compliance issues for Asia.
- Responsible for the provision of compliance advice for Asia regarding the Conflicts of Interest Framework requirements, particularly with regard to transactional conflicts, confidential and potential price sensitive ("inside") information, Chinese walls defence as well as employee-related conflicts including personal account dealing and directorships and external business interests.
- Responsible for the review of reportable transactions to identify and manage potential conflicts of interest. Assist with the identification and management of complex conflicts of interest issues.
- Assist with the maintenance, monitoring and analysis of Group-wide Conflicts of Interest registers (transactions, deal teams, Chinese Walls, personal account dealing, directorships and external business interests and compliance training)
- Maintain oversight and for regular compliance monitoring of control room functions including the Chinese Walls defence (including physical and systems access rights), transactional conflicts, principal trading and personal account dealing activities, directorships and external business interests.
- Aid in the identification and remediation of systemic and process related issues.
- Assist with the compliance review and assessment of various market commentary documents and marketing materials.
- Assist in any compliance projects as required, such as the development and ongoing maintenance of a new conflicts management IT system.
- Conduct regular induction and refresher conflicts of interest training employees throughout Asia.
- Maintain a watching brief on regulatory and industry practice developments, particularly throughout Asia, relevant to the Group Control Room.
The successful candidate should have either:
1. 5-8 years of strong Control Room Compliance experience in a Financial Institution or;
2. 5-8 years of General Compliance in a Corporate & Institutional Banking environment with good knowledge and experience in Control Room Compliance
- Business knowledge in Financial Markets, Debt Capital Market, Syndication, would be a big plus
- A Bachelor's Degree
- Excellent writing and communication skills
- Strong stakeholder management with regional counterparts
- Independent and ability to work in a standalone role
On offer is a fantastic opportunity to build up a new Control Room framework for the firm. The role offers great exposure to Senior Management and the firm offers a great culture and work life balance.
To apply online please click the Apply button below. For a confidential discussion about this role please contact Paulina Oh (Lic No: R1543421) on +65 6416 9850