GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
YOUR IMPACT
In Federation Compliance in Singapore, you will cover the Federation in Singapore, Hong Kong, China and other Asia Pacific markets. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate. To fulfill this role and responsibilities, you will be:
- Conducting risk identification, measurement and assessment
- Monitoring for compliance with laws, rules, regulations and policies
- Participating in firm responses to regulatory examinations, audits and inquiries
- Performing surveillance and investigations of business activities
- Testing the effectiveness of controls
- Writing policies and procedures
- Communicating regulatory requirements and firm policy expectations to educate others
HOW YOU WILL FULFILL YOUR POTENTIAL
Federation Compliance provides compliance coverage to the Operations, Technology, Finance, Risk, Services and Human Capital Management divisions (“the Federation”). This includes:
- Advise, challenge and influence the Federation about regulations, policies and reputational risk
- Identify, investigate and manage compliance issues involving the Federation
- Analyze regulatory changes and enforcement actions to assess the impact to the Federation, and participate in work to ensure the business is able to support new requirements
- Review surveillance alerts and conduct forensic reviews to monitor the Federation’s compliance with regulations and firm policies
- Recommend compliance testing work to be performed for the Federation
- Draft and assist in the implementation of policies and procedures
- Develop and deliver communication and training to the Federation
Basic Qualifications
A strong candidate for Federation Compliance will satisfy the following criteria:
- Bachelor’s degree; advanced degree in relevant field (e.g., J.D., LL.M., M.B.A.) is a plus but not required
- At least 5-7 years of work experience, including 3 years as a compliance officer or in a risk management role focused on regulatory requirements
- Knowledge of operational practices in securities and derivatives markets
- Knowledge of regulations, practices and markets infrastructure
- Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries
A strong candidate for Federation Compliance will possess the following skills:
- Clear, concise communications skills; able to communicate with impact at senior levels
- Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
- Sound judgment, ethics and integrity
- Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
- Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
- Team-oriented and supportive of others’ success; comfortable representing a team work product to stakeholders
