Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
Background on the Position
Based in Singapore, the Compliance professional is responsible for assisting in managing the Firm’s regulatory risk and helping to preserve the Firm’s franchise through ensuring and monitoring Business and Infrastructure Units’ compliance with laws, regulations, rules and internal policies and procedures.
Primary Responsibilities
-Licensing - Advising and assisting the business units with all licensing queries and requests. Guide the team assistant on licensing process.
-Advisory - Provide advice either independently or with other team members on regulatory compliance issues.
-Desk Reviews and Monitoring - Monitor compliance with laws, regulations and rules and the Firm’s policies, procedures and standards by conducting periodic desk reviews of the firm’s activities, through interviews and test checks, and helping to prepare reports of findings or results and following up on issues identified.
-Prepare and submit regular and ad-hoc regulatory reports.
-Assist in the maintenance of Compliance documentation including business unit manuals, Compliance Notices, Rules Database, which is a comprehensive database of the rules that the Firm must observe.
-Provide training to both professionals and support staff of the Business and Infrastructure Units, as required.
-Assist in monitoring for regulatory changes, analyzing their impact and communicating such changes to relevant staff.
-Assist in dealing with regulatory inspections and internal/external audits, as well as any ad-hoc regulatory inquiries.
Qualifications
Skills required (essential)
Qualities sought in the candidate are:
-Excellent verbal and written English communication skills
-Strong analytical skills, thoughtful and good instincts
-Eye for detail
-Proactive and independent
-Good teamwork skills
-Asian language abilities are helpful
Skills desired
-Preference will be given to candidates with at least 5 years’ relevant working experience in the financial services industry in Compliance or with a securities exchange or securities regulator.
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