At Vontobel, we actively shape the future. We create and pursue investment opportunities with determination. We master what we do - and we only do what we master. This is how we get our clients ahead. As a global financial services provider with Swiss roots, we specialize in wealth management, ac-tive asset management and tailor-made investment solutions.
Do you want to take part to the international growth of an Investment House?
Do you want to leverage on your expertise to have an impact on our organi-sation?
The Legal and Compliance team of Vontobel is composed of seasoned ex-perts with international background. We have dedicated specialists for each business divisions, and we are currently looking for a senior compliance of-ficer focusing on capital markets and distribution of funds.
The Compliance Officer in Singapore will be part of Vontobel Pte. Ltd. in Sin-gapore, covering the entities activities. We observe high standards of individ-ual behaviour and business conduct and as the second line of defence, we work closely with the business to support good compliance practices within the firm.
- Liaise with various regulatory bodies in APAC, to review upcoming regulations and perform gap analysis against current policies and frameworks
- Formulate policies and maintain internal compliance control on operations
- Develop and maintain a Compliance Framework for Capital Markets Services (CMS) licensee
- Ensure compliance with the Para 9 licensing conditions (Custodial Services, Dealing in Securities, Exchange-traded derivatives, collective investment schemes, over the counter derivatives)
- Monitor and conduct independent review of staff activities according to regulations and internal policies, and recommend solutions to management in case of any breaches;
- Update and develop compliance manuals and other documentation to ensure that they reflect applicable regulatory guidelines, best practices and internal standards;
- Perform the compliance monitoring program and hand in report to the Group's Compliance Departments
- Collaborate closely with other Vontobel entities including the group's head quarter in Zurich and the legal entities in Hong Kong in order to ensure consistency, efficiency and accomplishment of the group's overall Compliance framework;
- Review marketing material to ensure compliance with regulation (both on a local and cross border basis), that investors are aware of the transaction nature, and to mitigate risk of mis-selling.
- Liaise with internal and external audit as well as external law firms and actively contribute to address requests from regulators
- Submissions to regulators (applications, reports, etc.)
- Ensure adherence to law, rules and standards in Singapore with emphasis on the following (but not limited to):
- Maintenance of relevant licenses and registration requirements for the firm and its employees, in Singapore and overseas
- Client categorization
- AML/CFT/client suitability of institutional investors and accredited investors.
- Conflicts of interest
- Client inducements and other forms of remuneration
- Dissemination of research
- Personal Account Dealing
- Order handling, execution, allocation and recording (Client Execution and institutional dealing)
- Prohibited Market Conduct and Insider Trading
- Maintenance of Registers such as the Outsourcing Register
- Investor complaints
- Data protection and professional confidentiality
- Training and education of staff
- Master of law or equivalent and compliance experience
- At least 7 years of experience as Compliance Officer in the Financial Services Industry in an institutional context in the APAC region, with a focus in Singapore
- Extensive working experience with MAS will be a plus
- Strong stakeholder management skills
- Proven experience in helping a business function to further develop and finding the most relevant solutions to support sustainable long term growth
- Proven experience in explaining and implementing compliance framework
- Excellent English skills, other languages such as Chinese (Mandarin and/or Cantonese) is a plus
- Team player, results and solution oriented, self-directed and precise worker
- Recognized as a reliable and trusted business partner
- Able to work in a standalone position with daily interactions with the Compliance Teams located overseas
- A reliable and trusted person
Thank you for applying to Vontobel. We will carefully review your application and will respond to you in a timely manner.
At Vontobel, we are an equal opportunity workplace. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity.
We value the many voices within our teams and are committed to creating an environment where everyone who wants to be part of our performance culture can be themselves. It is based on mutual respect and zero tolerance for any form of discrimination.
If you have any questions you can contact us through our contact form .