Markets Compliance VP / SVP (Investment Bank)

Charterhouse Partnership is currently sourcing for a Markets Compliance VP/ Director. Reporting to the Head of Compliance, the incumbent will ensure adherence to regulatory requirements and expectations by implementing necessary governance measures, conducting assessments, establishing systems and controls, and fostering a culture of compliance.

Responsibilities

The incumbent will be the point of contact for all regulatory matters pertaining to the global market business of the Singapore Branch. He/She will implement global regulatory requirements and ensure regulatory requirements and expectations are met.

You will take ownership in acting as a business enabler, in partnership with the first line of defence to manage noncompliance risk and support strategic business initiatives. You will establish clear communication and coordination of risk assessment and controls between the first and second lines of defense.

You will be tasked to develop training materials, communicate training objectives, and ensure global and local Compliance training modules are implemented and completed by relevant staff. You will serve as an effective and prompt regulatory advisor to the business line, strictly adhering to laws, rules, and regulations.

Requirements

1. Possess a Bachelor's degree with a minimum of 13 years of compliance experience in global markets.
2. Thorough understanding of global markets products and the corresponding regulatory framework.
3. Profound knowledge of capital markets regulations, including SFA, FAA, BA, etc.
4. Ability to interpret and communicate laws, rules, and regulations effectively to ensure operational compliance within the business lines.
5. Excellent written and verbal communication skills in English.
6. Proactive and highly motivated, with the ability to handle challenging situations with maturity.
7. Proficient in professional correspondence with regulatory authorities and representation of the team in internal and external meetings/events.

For more information on the above position, or to discuss the compliance market in general, please send your CV to XuanK@charterhouse.com.sg or call 6950 0354 for a confidential discussion.

EA License no: 16S8066 | Reg no.: R1433611

Only successful candidates will be notified.