Markets Compliance Officer

5 days ago

Singapore Tangspac Full time

**Responsibilities**:

- Ability to build strong relationships with key stakeholders such as Senior management, business, and other infrastructure groups with a focus on the Markets and Wealth Management Solutions business.
- Ability to collaborate closely with head office and other overseas offices.
- Collaborate within the CRO function and stakeholders, taking the lead for designated areas of responsibility, to manage the Bank’s compliance and regulatory risk.
- The role is physically co-located with the Markets business to facilitate engagement and interaction.
- First point of contact in relation to provision of regulatory and compliance advice (excluding AML/KYC) to all business lines, including but not limited to Markets, advisory solutions, discretionary portfolio management, products sales and execution teams.
- Participate in new business initiatives and product due diligence process via New Product Approval working groups and provide timely and comprehensive advice from a compliance and regulatory perspective.
- Responsible to implement and execute business line advisory and trade surveillance functions.
- Conducting other Compliance-related control or review tasks as may be assigned from time to time. This may include investigations and/or thematic reviews.
- Review, address/ approve compliance / regulatory escalations or issues that arise from Front, Markets or other stakeholders.
- Review and approve marketing material and other sales documents for products offered to clients
- Involvement in, including driving where required, such other Compliance-related tasks or projects as and when necessary/delegated.

**Skill and Qualifications**:

- A Bachelor’s Degree is required with a minimum of 6-8 years’ relevant experience
- Good knowledge of the legal & regulatory environment
- Strong market and product experience from either Private Banking or Investment Banking background.
- Knowledge of regulatory expectations in relation to client sales and suitability for private banking.
- Experience of interacting with MAS and other regulatory authorities preferred
- Knowledge of business, processes, standards, policies and procedures in a financial/banking environment

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