Head Compliance Apac

Singapore / 8 Marina Blvd / Marina Bay Financial Centre (Tower 1), #04-03
- Do you want to take part to the international growth of an Investment House?
Do you want to leverage on your expertise to have an impact on our organisation?

The Legal and Compliance Advisory Team of Vontobel is composed of seasoned experts with international background. We have dedicated specialists for each business divisions, and we are currently looking for a senior compliance officer overseeing our compliance activities in the APAC region.

The Head Compliance APAC will be part of Vontobel Pte. Ltd. in Singapore and responsible for the compliance activities of the entities in Singapore, Hong Kong, Sydney and the Tokyo Branch.

**What would your role be?**
- Manage a Team of two experienced compliance officers and collaborate closely with Vontobel entities including those based in the group’s headquarter in Zurich in order to ensure consistency, efficiency and accomplishment of the group’s overall Compliance framework;
- Liaise with various regulatory bodies in APAC: maintenance of relevant licenses and registration requirements for the firm and its employees, in APAC;
- Review and adopt upcoming regulations and perform gap analysis against current policies, processes and frameworks in place;
- Ensure compliance of the Key Business Lines (Sales & Marketing, Private Placement Business, Investment Research and Advice, and Trading Desk) with regulatory standards;
- Help maintain compliance obligations of the local hub of a global execution desk and implement compliance controls with regard to the trading activities;
- Monitor and conduct independent review of staff activities (Compliance monitoring program) according to regulations and internal policies, and recommend solutions to management in case of any breaches;
- Ensure adherence to law, rules and standards with emphasis on the following (but not limited to): Client categorization, AML/CFT/client suitability of institutional investors and accredited investors, Conflicts of interest, Personal Account Dealing, Order handling, execution, allocation and recording, Investor complaints, Data protection and professional confidentiality;
- Review marketing materials and work with the business to provide regulatory guidance on marketing and cross border sales activities in Asia;
- Update and develop compliance manuals and other documentation to ensure that they reflect applicable regulatory guidelines, best practices and internal standards;
- Liaise with internal and external audit as well as external law firms and actively contribute to address requests from regulators;
- Ensure training and education of staff

**What are we looking for?**
- Master of law, finance/economics, or a related field
- At least 7 years of experience as Compliance Officer in the Financial Services Industry in an institutional context in the APAC region, with a focus in Singapore and Hong Kong
- Extensive working experience with MAS and SFC will be a plus
- Up-to-date knowledge of recent regulatory developments in APAC
- Leadership skills
- Proven experience in helping a business function to further develop and finding the most relevant solutions to support sustainable long term growth
- Proven experience in explaining and implementing compliance framework
- Excellent English skills, other languages such as Chinese (Mandarin and/or Cantonese) is a plus
- Strong team player
- Capable to prioritize effectively and meet both fixed and shifting deadlines
- Recognized as a reliable and trusted business partner
- Keen to take ownership on business critical situations and to help the business to meet our strategic goals
- Detail oriented

**Why Vontobel?**

At Vontobel, you are building better futures for our clients and society, as well as for yourself. As a family-owned and publicly listed company with over 2,000 professionals based in 28 locations globally and headquartered in Zurich, we’re committed to long-term thinking and sustainability.

Do you want to be Vontobel?