Senior Compliance Manager (Equities)

S Posted byRecruiterOur client, a globalmodities focused investment firm with a global presence is looking for a Seniorpliance Manager (focusing on Equities) to join them in Singapore, reporting to the Head of Asia –pliance.

In the role of Seniorpliance Manager, the employee will be responsible for, among others, the following :

• Provide direct support to the Head of Asiapliance to manage thepliance priorities for the Asia region;
• Maintain a strongpliance presence within, and providepliance oversight for all regional offices in Asia;
• Provide research and trading relatedpliance counsel to the investment staff in relation to day to day business matters;
• Assist with enforcingpliance policies as it applies to the firm’s Asia business on a day to day basis;
• Monitor regulatory developments and stay ahead of them to updatepliance policies and procedures as required
• Educate investment and non-investment staff with regard to trading relatedpliance requirements on an ongoing basis;
• Assist with surveillance, testing and other key parts of thepliance program and forensic testing to satisfy ongoingpliance obligations;
• Keep track of industry leadingpliance practices and adopt and implement such practices to continually enhance the firm’spliance program;
• Escalate matters to the globalpliance leaders and the regional Business leaders as necessary

Qualifications & requirements :

Masters Degree or CFA or other industry certifications are a plus.

Please note that due to the high number of applications only shortlisted candidates will be contacted. If you do not hear from us in the next 5 business days we regret to inform you that your application for this position was unsuccessful.

EA Licence : 16S8131

Recruiter Licence : R22104669

Job ID JOB - 15115