Vice President, Compliance Control Room

1 week ago

Singapore MUFG BANK, LTD. SINGAPORE BRANCH Full time

The role is within the Asia Compliance Control Room (“CCR”) which forms part of the Regional Advisory and Control Room Department in the Compliance Office for Asia (“ACO”). The role reports to the Regional Head of Control Room and works with the Asia CCR Team as well as the Global CCR Team which consist of 3 independent CCRs located at MUFG Bank: London, NYC and Tokyo. The CCR administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, key compliance issues and actions are taken to mitigate compliance risk.
- Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
- Provide Subject Matter Expert (“SME”) consulting and advisory services to stakeholders to comply with applicable laws, regulations, and policies (e.g., Conflicts of Interest, Material Non Public Information and Secondary Loan Sale conflict clearance).
- Execute projects as assigned by supervisor and/or Compliance senior management.
- Manage controls to prevent and detect insider trading by employees. These activities include the administration of requirements under applicable insider trading policies, centralized reporting of material non-public information, firm and employees personal securities trading monitoring, management of information barriers, and metrics and escalation reporting
- Perform Transactional Conflicts of Interest (“TCOI”) processes including review of TCOI submissions, escalations to APAC Management and Home Office, as necessary, and working with business units and stakeholders on training, procedures, controls and any required risk mitigation.
- Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee accordingly.
- Provide information for compliance reporting to management and governance groups.
- Manage the execution of assignments and provide guidance to junior members of CCR (whenever required).
- Support the ACO Training Team in the development, coordination and delivery of initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies (e.g., Conflicts of Interest, Material Non-Public Information, and Personal Trading).

**Job Requirements**:

- Minimum of 7 years of Conflicts Advisory and/or Control Room experience
- Excellent presentation and internal stakeholder engagement skills
- Ability to identify transactional conflicts of interest
- Bachelor’s degree
- Ability to think strategically and make risk-based decisions
- Strong knowledge of financial markets and products
- Demonstrates a high level of integrity
- Excellent communications skills (verbal and written)
- Outstanding analytical and organizational skills
- Experience leading and delivering on projects
- Experience working in a large international organization preferred
- We regret to inform that only shortlisted applicants will be notified._

  • Assistant Vice President

    5 days ago

    Singapore MUFG BANK, LTD. SINGAPORE BRANCH Full time

    This role is within the Asia Compliance Control Room (CCR) which forms part of the Regional Advisory and Control Room Department in the Compliance Office for Asia (ACO). The role reports to the Regional Head of the Control Room and works with the Asia CCR Team as well as the Global CCR Team which consist of 3 independent CCRs located at MUFG Bank: London,...

  • Assistant Vice President

    5 days ago

    Singapore MUFG Full time

    **Do you want your voice heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term...

  • Associate/Vice President

    2 weeks ago

    Singapore MUFG Full time

    Associate/Vice President - Risk and Compliance, Global Markets Division Join or sign in to find your next job Join to apply for the Associate/Vice President - Risk and Compliance, Global Markets Division role at MUFG Associate/Vice President - Risk and Compliance, Global Markets Division Join to apply for the Associate/Vice President - Risk and Compliance,...

  • Vice President, Aml Compliance

    2 days ago

    Singapore Western Union Full time

    Vice President, AML Compliance Are you ready to lead and enhance compliance efforts across the APAC region? Are you eager to drive strategic compliance initiatives in a globally diverse organization? Do you thrive in a dynamic, fast-paced financial services environment? Then it's time to join Western Union as a Vice President, Compliance - APAC. **Western...

  • Senior Vice President, Oversight and Reporting

    13 hours ago

    Singapore HSBC Full time

    Senior Vice President, Oversight and Reporting - Risk and Compliance Join to apply for the Senior Vice President, Oversight and Reporting - Risk and Compliance role at HSBC . Some Careers Have More Impact Than Others. If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. Whether you want a...

  • Associate/Vice President

    5 days ago

    Singapore MUFG Bank, Ltd Full time

    Associate/Vice President - Risk and Compliance, Global Markets Division page is loaded## Associate/Vice President - Risk and Compliance, Global Markets Divisionlocations: Singapore Office Marina Onetime type: Full timeposted on: Posted Todayjob requisition id: -WDDiscover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s...

  • Associate/Vice President

    5 days ago

    Singapore MUFG Bank, Ltd Full time

    Associate/Vice President - Risk and Compliance, Global Markets Division page is loaded## Associate/Vice President - Risk and Compliance, Global Markets Divisionlocations: Singapore Office Marina Onetime type: Full timeposted on: Posted Todayjob requisition id: -WDDiscover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading...

  • Associate Vice President, Compliance

    2 weeks ago

    Singapore Ares Management Corporation Full time

    Associate Vice President, Compliance **Over the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career...

  • Assistant Vice President

    2 days ago

    Singapore RGF Full time

    **Location**: Singapore **Salary**: Open **Industry**: Financial Services **Sub-industry**: Investment Banking **Function**: Financial Services **Job Description**: **Our Client**: Our client is a full-service commercial bank that offers a broad spectrum of financial services spanning wealth management, personal banking, wholesale banking as well as...

  • Vice President, Strategy

    2 weeks ago

    Singapore Teneo Full time

    Vice President, Strategy & Communications Singapore The Opportunity As we continue to grow our operations in Asia-Pacific, we are looking for a high calibre candidate to join our dynamic and professional Strategy and Communications team as a Vice President in Singapore. This is a unique opportunity for a driven, self-motivated candidate to develop a...