VP/Director, Control Room Compliance
1 week ago
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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