Director, Equities Compliance Advisory

Our Client, an International Investment bank, is seeking a Director, Equities Compliance Advisory candidate to be based in Singapore and are happy to relocate the right candidate for the role.

Responsibilities

• The Director, Advisory Compliance will have responsibility for Compliance activities relating to the equities businesses and is therefore expected to be a product specialist
• Expert knowledge of the Equities business (cash equities, equity derivatives and prime brokerage), with a good understanding of the equities business rules and regulations in the APAC region.
• Quickly build an understanding of the business lines, including booking models, products, transaction types and nature of business, covering and providing advice to multiple trading and sales desks.
• Build and maintain relationships with the business, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.
• Provide guidance to more junior members of the team.
• Assess new business proposals versus pertinent laws, regulatory requirements and exchange rules including coordinating with global Advisory Compliance teams where required.
• Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.
• Provide real-time advice to the business regarding proposed transactions in a timely manner.
• Assist internal stakeholders where required with product and/or market expertise, such as Trade Surveillance, Risk, Internal Audit, Operational Risk, Operations.
• Create and deliver training to the business and other functions as required, covering topics such as market abuse, trading venue rules and other topics pertinent to specific business lines.
• Draft and implement Advisory Compliance policies and procedures,
• Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior management as required to assist in escalation decision making, including preparation for potential STOR submissions.

Requirements

• Minimum of 15 years of demonstrated relevant experience in the industry. Knowledgeable of regulations and industry best practices.
• Solid understanding of Equities markets, products and business practices with at least 5 years of product experience. Additionally, in-depth knowledge of one or more areas of Fixed Income is preferred.
• Independent, self-starter skilled in identifying risks, managing stakeholders, and providing solutions.
• Familiar with relevant industry standards and statements of good practice, particularly market rules and relevant codes and guidance.