For Recruiters

Investment Bank - Markets Compliance Advisory & Core Compliance

Black Swan Group
Singapore
Posted 3 days ago Permanent Competititve
R
Posted by
Richard Aldridge
Recruiter
Excellent career opportunity with a leading U.S Investment bank! The role will have a hybrid coverage of financial markets compliance advisory, focusing on Equities products and core compliance for the SEA region.

The organisation offers you the chance to:

  • Provide compliance advice to the financial markets business across SEA region, with a bigger focus on equities products and on a supportive basis for FICC.
  • Develop and maintain effective compliance program and conduct risk assessments.
  • Exercise oversight on core compliance functions across surveillance, licensing, PA dealing etc.
  • Liaise with regulators across the region and regulatory matters.

You offer:                                                                          

  • Financial markets compliance experience with strong equities product knowledge, understanding of SGX rulings and the SFA.
  • Experience liaising with external parties (e.g., regulators/external auditors) on compliance issues.
  • Good at building relationships and credibility; you will be dealing with both internal and external stakeholders of ranging seniority on a day to day basis.

To discuss in more details and obtain further information please contact Shingo Wong on shingo.wong@blackswangroup.com or call +65 3165 0029

EA Registration Number R1545180. Licence Number – 16S8139

Black Swan Group is an award winning global corporate governance recruitment firm who launched here in Singapore in early 2014. We have developed a reputation for finding exceptional talent and matching them with exciting and unique opportunities. Initially founded in London in 2010 we now have 4 offices globally in London, Singapore, Hong Kong and New York supporting clients across the entire spectrum of financial services businesses.

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