VP - Equities Compliance

3 weeks ago


Singapore Danos Group Full time

Responsibilities

  • Provide regulatory compliance support for the firm’s equity execution desk and assisting with the resolution of issues identified by other oversight functions (i.e., Risk or Internal Audit).
  • Developing and implementing policies, procedures and controls which successfully mitigate key risk factors for the trading lifecycle.
  • Working with legal colleagues and external counsel to manage relationships with regulators (e.g. MAS, SGX, SEC, and FCA).


Requirements

  • Seeking a degree holder with exceptional academic credentials, ideally in a related field, and a minimum of 7 years' experience in compliance and regulatory roles within financial institutions, regulatory bodies, broker-dealers, or buy-side firms.
  • The ideal candidate should possess strong knowledge of equities and equities derivatives, including ETFs and listed options.
  • Demonstrated experience in implementing trading and equity compliance projects, policies, and programs.


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