Vice President - Singapore - Morgan McKinley

Morgan McKinley

Verified Company

Singapore

1 week ago

Posted by:

Wei Jie

beBee Recruiter

Description

As part of the Global Markets Compliance team for Asia ex-Japan, provide compliance advisory/support to the Fixed Income segment of the Global Markets business in the Asia ex-Japan region.

Responsibilities:

Providing daytoday compliance advisory services to the Sales, Trading (Rates/FX) and Structuring desk under Fixed Income business (and their support functions, regarding the Firm's policy and relevant rules and regulations
Establishing / updating policies and procedures in accordance with latest regulatory requirements and firm policy
Reviewing new product/business requests from business and advising on any necessary controls / policies & procedures which would need to be put in place
Reviewing escalation of alerts raised by Compliance Surveillance team
Handling compliance breaches/incidents with internal stakeholders
Participating in and providing support to regional and global compliance projects/initiatives
Performing compliance review and risk assessment to identify gaps and make recommendations
Preparing and providing compliance training for business personnel
Handling regulatory inquiries, examinations and audits
Participating in related industry trade groups.

Requirements:

8+ years working experience in global markets compliance, legal or regulatory functions possessing a broad knowledge of Fixed Income business.
Experience in a trading floor environment with knowledge of Indian FPI business, Investment Banking and Research business is a plus;
Good understanding of the key regulators in Asia exJapan, their culture, policies and expectations and an ability to understand the potential impact of overseas regulatory development;
Excellent negotiating and interpersonal skills; should be a solutions driven, confident, highly motivated and organized team player with impeccable integrity; should possess excellent issue spotting, analytical and resolution of conflicts skills;
Should be able to act decisively and independently in situations requiring quick analysis;