Vice President - Global Markets Compliance

Job Description

Morgan McKinley is working in partnership with a stable mid-size bank who is looking to hire a Vice President within their Market Compliance team.

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 day-to-day 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 ex-Japan, their culture, policies and expectations and an ability to understand the potential impact of overseas regulatory development;
• Excellent negotiating and inter-personal 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;

Only shortlisted candidates will be responded to, therefore if you do not receive a response within 14 days please accept this as notification that you have not been shortlisted.Morgan McKinley Pte Ltd EA Licence No: 11C5502 | EAP Registration No: R1549612 Dhanushi De Silva