Capital Markets Compliance Leader

4 days 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 procedures.
  • Conduct annual risk assessments, including reviewing and challenging 1LOD risk assessments for CM Singapore and Hong Kong.
  • Identify control/governance gaps and track remediation using internal tools, working with the 1LOD to identify owners, deadlines, and required evidence.
  • Design and maintain Compliance policies and procedures to address identified regulatory risks.
  • Develop and deliver compliance training to business stakeholders.
  • Collaborate with colleagues in other regions and functions to support RBCCM's risk management.
  • Advise on the application of current and future regulatory requirements.
  • Draft and present Compliance Management Information.
  • Review, advise, and draft text from a compliance perspective for New Business Initiatives.

Requirements:

  • Degree-educated individual with a minimum of 5 years' experience in a related compliance role.
  • Good understanding of Capital Markets business and solid understanding of Singapore Regulatory Requirements.
  • Strong presentation skills and attention to detail.
  • Compliance Advisory experience and understanding of Hong Kong's Regulatory requirements are desirable.
  • Good understanding of issues pertaining to public/private information flows and Global regulatory requirements is an advantage.

What You Need to Succeed:

  • A strong understanding of regulatory requirements and ability to apply them effectively.
  • Excellent communication and interpersonal skills.
  • Ability to work collaboratively in a team environment.
  • Highly organized and able to prioritize tasks effectively.
  • Strong analytical and problem-solving skills.

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