The Client An investment banking and securities firm in Singapore and the Asia-Pacific region. It offers a comprehensive suite of financial services, including investment banking, capital markets activities, corporate finance, and sales/trading of various financial instruments. Job Description Develop and implement a vigilant Compliance monitoring strategy, regularly updating it to identify and address any Compliance deficiencies, while suggesting effective corrective actions. Keep abreast of regulatory modifications, evaluating their impacts, and adapt policies accordingly to adeptly manage and alleviate any associated risks within regulatory frameworks. Act as the specialized authority in fixed income products compliance, extending guidance in transactional due diligence and other Compliance-related aspects. Offer comprehensive guidance to local and regional business units concerning Compliance policies, overseeing monitoring efforts, and driving initiatives. Perform diverse reviews as per the Compliance Workplan, encompassing post-trade monitoring, e-communication surveillance, and supervision of Gift and Entertainment, along with Personal trading. Requirements Seeking candidates for a formal job requiring a Bachelor's Degree in Accountancy, Finance, Business, or related fields, along with around 4-5 years of Fixed Income Compliance experience in Capital Markets. Preferred qualifications include familiarity with regulatory certifications, proficiency in handling Capital Market Products, and the ability to effectively engage with stakeholders. The ideal candidate should be self-motivated, resourceful, and willing to take on additional tasks when necessary. We regret only shortlisted candidates will be notified. Cornerstone Global Partners Pte Ltd EA Licence No.: 19C9859 EA Personnel Reg. No.: R22107633
x
