AVP, Legal & Regulatory (Regulatory & Internal Compliance - Equities) (8921)

We are looking to hire an equities compliance professional to join our regulatory and compliance team based in Singapore (which is part of the firm's Legal and Regulatory Department).

The candidate is expected to collaborate with colleagues in the legal and regulatory team and other internal partners (e.g. Operations, Internal Audit, Technology and Investment Group).

Responsibilities :

• Provide regulatory compliance support for the firm's equity execution desk, portfolio risk and management group and investment groups with a focus on cash equities, ETFs, listed options and OTC equity derivatives and associated hedging strategies
• Developing and implementing policies, procedures and controls which successfully mitigate key risk factors for all relevant execution groups
• Working with legal colleagues and external counsel to manage relationships with regulators (e.g. MAS, SGX, SEC and FCA) on submissions, shareholding disclosures and approvals
• Assist with the resolution of issues identified by other oversight functions (i.e., risk management or Internal Audit)
• Advise on the firm's responsibilities on corporate actions involving its listed portfolio companies, statutory shareholding disclosures, MNPI and regulatory reporting
• Proactive identification of issues impacting coverage areas through participation in business, industry and regulatory initiatives and trade groups
• Lead change management efforts to ensure compliance with new regulations
• Maintain various restrictive lists for equities
• Design and deliver applicable training for business unit personnel

Requirements :

• At least 5 years' experience in a similar compliance and regulatory role at a financial institution, regulatory authority, broker-dealer or buy-side firm with 7 to 10 years of total work experience
• Strong overall product knowledge and regulatory experience within equities and equities derivatives (including ETFs and listed options)
• Demonstrated experience with the implementation of trading and equity compliance projects, policies and programs
• Possesses working knowledge of financial regulations such as SFA, EMIR, MiFID and applicable SEC and CFTC rules
• Good understanding of regulations and investment monitoring requirements
• Possesses strong analytical skills, good working knowledge with data and able to think strategically
• Possesses strong communication skills and confidence to effectively engage multiple stakeholders
• Degree holder from a related field, preferably with an outstanding academic record