Global Markets Compliance Officer

Responsibilities

• Handle regulatory initiatives impacting Global Markets (e.g. Cross-Border, Client Classification, etc.) by working with Business and several Compliance teams such as Singapore Regulatory Compliance Office.
• Responsible for coordination of MAS/ SGX questionnaires, External Audit Requests for Global Markets, which entails coordinating with various stakeholders.
• Involved in rolling out training initiatives aimed at maintaining consistently high levels of front office proficiency in relevant rules and regulations, codes of conduct, and particularly the laws and regulations affecting the Global Markets business.
• Required to help with other Singapore and SEA country related initiatives and will back-up other members of the team, as necessary.

Requirements

• Degree level education
• Minimum of 5 or more years of experience in the Global Markets domain. Possess strong knowledge of SFA, FAA and MAS requirements (e.g. II/AI classifications, Cross border regulations and equivalent) and their practical application.
• Good knowledge of the Singapore laws and regulations (e.g. SFA, FAA, MAS notices, etc.). Relevant experience in dealing with GM Compliance related issues.
• Strong analytical and problem-solving skills. Willing to learn, tenacious, hardworking, and enthusiastic. The candidate must possess good communication and social skills to be a team player and work with all levels. Independent minded, with good command of written and spoken English. Sound knowledge of Word, Excel and PowerPoint.