Compliance Manager

4 days ago

Singapore CGS-CIMB SECURITIES (SINGAPORE) PTE. LTD. Full time

**About the role
CGS-CIMB Securities (CGS-CIMB) is a leading integrated financial services provider in Asia. It is a joint venture between China Galaxy International Financial Holdings Limited, a wholly owned subsidiary of China Galaxy Securities Co. Ltd., and CIMB Group Sdn Bhd.

Through a network of local offices, branches, and strategic partners, we have a direct global presence in 15 countries and territories, providing a truly Asian perspective. We are well-positioned as Asia’s leading financial gateway with a core focus on deep-dive research and in-depth analysis on equities and financial products.

This position within the Control Room Team of the Compliance Department is responsible for managing the flow of sensitive information, reviewing investment banking deals for potential conflicts, managing MNPI and insider lists and managing research activities.

**Job Responsibilities
The incumbent will be responsible for:

- Provide firm compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest.
- Conduct training on the Firm’s policies and procedures relating to Information Barriers. Monitor securities law and related rules and regulation in this area.
- Maintain and update the firm’s Watch and Restricted Lists.
- Coordinate and record Wall Crossings.
- Conduct review of Investment Banking transactions for potential conflicts of interest and maintain the Conflicts monitoring system. Liaise where necessary with the business and Legal.
- Assist in the development of the Control Room Compliance program including, policy and technology developments.
- Assist in the conduct of internal and regulatory inquiries and investigations, as necessary.
- Coordinate Compliance issue management, escalation, and reporting.

**Job Requirements
To thrive and be successful in this role, you must have / be:

- A good Degree or professional qualification in Accountancy, Banking or Finance
- At least 5 years relevant financial industry experience in compliance for Control Room, including Research
- Solid understanding of securities regulation particularly information barrier / conflicts clearance practices and research rules.
- Ability to analyze complex situations and provide guidance in time sensitive situations. Resolve issues quickly and effectively.
- Ability to multi-task in a fast-paced environment.
- Excellent organizational, oral, and written communication skills.
- Attention to detail.
- Strong interpersonal skills. Must be team player.
- Strong work ethic and professionalism.
- Adaptability and flexibility in a changing environment.

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