Manager, Compliance (Investment Banking)

Posted 12 October 2018
Job type Permanent

Job Description

  • Pleasant work environment
  • Learning exposure
  • Competitive remuneration

Our client an establish investment banking is seeking a dynamic compliance manager to join their growing regulatory compliance team, in ensuring compliance regulatory obligations is adhered, and providing sound advice on regulatory matters.

Key Requirements

  • Provide advice on regulatory matters in relation to outsourcing, staff and entity licensing, new product roll-out
  • Manage regulatory change process and respond to internal and external audit and regulatory queries
  • Maintain compliance policies and procedures and provide training as required
  • Identify gaps in controls, policies and procedures to ensure compliance with Singapore regulatory requirements
  • Oversee the core compliance operational functions including regulatory liaison, reporting, staff registrations, entity licensing, cross-border business activities, gifts & entertainment
  • Support on process automation and improvement, training, and staff development

Job Requirement:

  • Minimum 5 years of relevant compliance experience, ideally from Investment, Wholesale Banking or Global Markets\
  • Strong knowledge of regulatory requirements, business operating model and controls
  • A self-starter, highly motivated and a good team player
  • Excellent communication and interpersonal skills

EA Licence No.: 15S7496

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