Compliance Assurance Director (Global Markets)

RESPONSIBILITIES:

You will take ownership in managing all scoping and setting up processes for assigned reviews, after which you will also ensure that all work papers required for assigned Reviews are completed to required standards and that all documentation is correctly filed, as required by the Methodology.

You will be responsible in informing the relevant stakeholders about the results of Assurance reviews and assist them in devising corrective measures for identified issues. You will also communicate and disseminate key changes in laws, rules, and regulations related to Assurance activities to the Assurance team, acting as a point of contact for Financial Market.

As a subject matter expert, you will determine patterns and trends of identified issues across the relevant subject matter and lead reviews, set appropriate corrective action to remediate, and report to appropriate

governance forums.

You will ensure that work delivered in their area of responsibility follows prescribed workflows and meets quality standards for the Assurance function with the required attention to detail and within the timelines set.

REQUIREMENTS:

To qualify for the role, you should have

• At least 10+ years of previous review or assurance experience.
• Background in Auditing, Risk Management, and Compliance, with a specific focus on Financial Markets, are preferred for this position.
• Prior experience in Financial Markets Subject Matter and familiarity with securities regulation will be given preference.
• A strong understanding of Financial Markets Subject Matter lifecycles is essential.
• Experience in interpreting regulatory rules applicable to Financial Markets Subject Matter is required.
• Candidates should have experience in performing walkthroughs, risk assessments of internal controls environment, and conducting controls and substantive testing.
• Good knowledge of regional regulatory requirements, including recent regulatory reforms, is expected.

Please contact Xuan Kwok at +65 6950 0354 or XuanK@charterhouse.com.sg for a confidential discussion

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

Only successful candidates will be notified.