Current jobs related to Capital Markets Compliance Leader - Singapore - beBeeCompliance

  • Capital Markets Compliance Leader

    1 week ago

    Singapore beBeeCompliance Full time

    Job Title: Associate Director, Compliance, Capital Markets Are you a seasoned professional with expertise in compliance and risk management? We are seeking an experienced Associate Director to lead our Capital Markets Compliance team. About the Role: Maintain a deep understanding of applicable regulations, best practices, and internal policies and...

  • Capital Markets Compliance Leader Position

    1 week ago

    Singapore beBeeRegulatory Full time $90,000 - $120,000

    Capital Markets Compliance Expert We are seeking a seasoned professional to lead our Capital Markets Compliance team. About the Role: Maintain a deep understanding of applicable regulations, best practices, and internal policies and procedures.Conduct annual risk assessments, including reviewing and challenging 1LOD risk assessments for CM Singapore and Hong...

  • Talented Capital Market IT Specialist

    2 weeks ago

    Singapore beBeeCapital Markets Full time $80,000 - $120,000

    About This RoleWe are seeking a skilled Calypso Application Analyst Programmer to join our dynamic Capital Market Department.This role involves supporting users of IT applications, responding to their requests, and resolving incidents. You will play a pivotal role between Business and all other IT roles on Run related topics, following CMI Run processes...

  • Associate, Capital Markets

    14 hours ago

    Singapore CLIFFORD CAPITAL PTE. LTD. Full time

    **Position Overview**: The Capital Markets team sits under the Clifford Capital Markets & Investor Services Group and is responsible for (i) the structuring and execution of new structured issuances, (ii) the ongoing monitoring and management of existing issuances and (iii) managing and cultivating relationships with institutional investors. The primary...

  • VP of Legal Compliance

    7 days ago

    Singapore Genedant Capital Full time

    Genedant Capital is a venture capital firm that invests in emerging science and technology ventures and challenges conventional thinking of what is possible. At Genedant Capital, we are looking for an eccentric mix of inter-disciplinary thinkers who have a witty disregard of convention to partner equally mission-driven founders to bring benefits and value to...

  • VP of Legal Compliance

    2 days ago

    Singapore Genedant Capital Full time

    Genedant Capital is a venture capital firm that invests in emerging science and technology ventures and challenges conventional thinking of what is possible. At Genedant Capital, we are looking for an eccentric mix of inter-disciplinary thinkers who have a witty disregard of convention to partner equally mission-driven founders to bring benefits and value...

  • Associate Director, Compliance, Capital Markets

    1 week ago

    Singapore RBC Full time

    Job Description What is the opportunity?As Associate Director, Capital Markets (‘CM’) Compliance for Singapore and Hong Kong, you will support Singapore and Hong Kong’s Global Markets and Global Investment Banking businesses, advising on their various local and global regulatory obligations. You will report to the Head of Capital Markets Compliance,...

  • Associate Director, Compliance, Capital Markets

    4 days ago

    Singapore RBC Full time

    Job Description What is the opportunity? As Associate Director, Capital Markets (‘CM’) Compliance for Singapore and Hong Kong, you will support Singapore and Hong Kong’s Global Markets and Global Investment Banking businesses, advising on their various local and global regulatory obligations. You will report to the Head of Capital Markets...

  • Capital Portfolio Leader

    1 week ago

    Singapore Kimberly-Clark Full time

    You’re not the person who will settle for just any role. Neither are we. Because we’re out to create Better Care for a Better World, and that takes a certain kind of person and teams who care about making a difference. Here, you’ll bring your professional expertise, talent, and drive to building and managing our portfolio of iconic, ground-breaking...

  • Associate/Senior Associate, Capital Markets Distribution

    21 hours ago

    Singapore SAC Capital Private Limited Full time $90,000 - $120,000 per year

    Key Responsibilities:Support the execution of IPOs, Secondary Offerings, Private Placements, Mergers & Acquisitions and other related Capital Markets Distribution transactionsParticipate in deal origination by targeting potential issuers and compiling pitch presentationsPrepare market intelligence and research and conduct comparable company/ comparable...

Capital Markets Compliance Leader

3 weeks ago

Singapore beBeeCompliance Full time $180,000 - $220,000
Job Title

Associate Director, Compliance, Capital Markets

Job Overview

The Associate Director, Capital Markets Compliance role is to support the Global Markets and Global Investment Banking businesses in their various local and global regulatory obligations.

Key Responsibilities:
  • Maintain a detailed knowledge of applicable regulations, best practices and relevant internal policies and procedures.
  • Conduct annual risk assessments including check and challenge of 1LOD risk assessments for CM Singapore and Hong Kong.
  • Identify control/governance gaps and track remediation in relevant tools working with the 1LOD to identify appropriate owners deadlines and required evidence of remediation.
  • Design and maintain compliance policies and procedures to address identified regulatory risks.
  • Devising and delivering compliance training to business stakeholders.
  • Collaborate with colleagues in other regions and other Compliance and Control functions including Trade Surveillance Monitoring & Testing Central Services Operational Risk and others to support RBCCM's risk management.
  • Advise on application of current and future regulatory requirements.
  • Draft and present Compliance Management Information; and
  • Review advise and draft appropriate text from a compliance perspective for New Business Initiatives.
Requirements
  • Degree educated.
  • Minimum 5 years experience in related compliance role.
  • Good understanding of Capital Markets business.
  • Solid understanding of the Singapore Regulatory Requirements.
  • Strong presentation skills.
  • Strong attention to detail.
Nice-to-Have Qualifications
  • Compliance Advisory experience.
  • Understanding of Hong Kong's Regulatory requirements.
  • Good understanding of issues pertaining to public/private information flows.
  • Understanding of Global regulatory requirements examples: Global FX Code SEC CFTC FCA OSFI.