Lead Compliance coverage of the Sales & Trading businesses for Asia Ex-Japan.
- Head up Compliance for Fixed income and equity sales and trading desks
- Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules
- Communicate with traders and supervisors to assess risk and remediate issues
- Assist in the design and maintenance of written supervisory procedures
- Assist in regulatory reviews, including inquiries, audits and exams
- Design and deliver applicable training for business unit personnel
- Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations
- Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation
- Demonstrate ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner
- Minimum of 10 years of related experience
- Candidate should be proficient in time management and able to initiate and manage projects.
- Bachelor's degree required