Financial Services Group - Regulatory Compliance Generalist Financial Services Group - Regulatory Compliance  …

Black Swan Group
in Singapore
Permanent, Full time
Last application, 25 Sep 21
Competitive
Black Swan Group
in Singapore
Permanent, Full time
Last application, 25 Sep 21
Competitive
Posted by:
Richard Aldridge • Recruiter
Posted by:
Richard Aldridge
Recruiter
Compliance generalist role with wide business coverage across investment banking, brokerage and asset management segments. The role will report directly into the Regional Head of Compliance and be responsible for all areas of regulatory compliance.

The organisation offers you the chance to:

  • Conduct compliance testing and surveillance across trade surveillance (equities & fixed income), PA dealing, conflict of interest and gifts & entertainment.
  • Carry out central compliance duties such as licensing for representatives.
  • Advise on internal compliance enquiries and assist the business in keeping up with regulatory changes.
  • Assist in establishing compliance policies and assist in identifying and implementing measures to mitigate gaps.

You offer:                                                                          

  • Prior compliance experience as a regulatory/ex-regulator, broker/dealer, asset management industry or investment banking industry.
  • Knowledge in SFA and SGX-ST rules will be good to have.
  • 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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