VP/Director, Control Room Compliance

7 days ago

Singapore Pure Hong Kong Full time $120,000 - $360,000 per year

Responsibilities:

  • Lead efforts to identify, assess, and resolve potential and actual conflicts of interest across investment banking, capital markets, commercial banking, and mergers and acquisitions.
  • Review equity research for both the US and Canada, ensuring adherence to relevant regulatory safe harbor rules, including SEC rules and local regulations.
  • Collaborate with Global Control Room partners to implement and enhance conflict management frameworks, policies, and procedures continuously.
  • Drive the enhancement of conflict management systems and tools, ensuring they meet regulatory expectations and align with business requirements.
  • Act as a senior advisor to business units and compliance stakeholders on Core Control Room activities, while mentoring junior team members to promote a culture of compliance and continuous improvement

Qualification:

  • Over 8 years of work experience in compliance in a reputable investment bank.
  • University degree or professional qualification in Law / Finance / Accounting / Business or related disciplines.
  • Sound knowledge of rules, regulations and statutory requirements of MAS and/or other regulatory bodies.
  • Effective communications skills (written and spoken).
  • Good interpersonal skills and a team player.
  • Ability to work under pressure.
  • Independence and robustness.
  • Personal authority, integrity, and ethics.

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