Responsibilities
- Provide regulatory and firm compliance policy advice/ guidance to equity capital markets, as well as debt capital markets and syndicate teams, and management on issues related to underwriting and private placements, marketing and selling securities offerings, as well as information barriers and other internal controls and issues.
- Oversee and coordinate with business, control room and legal regarding the firm's information barrier policy and to manage conflict of interest.
- Provide guidance to business management with respect to supervision structure, process and responsibilities and ensure adherence to guidelines and checklists, ensuring procedures and controls set out in the IBD operating procedures manual are followed.
- Coordinate compliance issue management, escalation and reporting.
- Monitor and review announcements, circulars and offer documents to be disclosed
- Liaise with external lawyers, financial advisers and regulators with respect to various regulatory and compliance issues
- Update and implement policies, procedures and controls to meet regulatory requirements of MAS, SGX-DT, SGX-DC.
- Conduct compliance assurance reviews and testing on business units processes and controls to assess level of compliance with applicable regulatory/industry requirements, identify gaps, provide recommendations, escalate issues/risks promptly and work with business units to implement timely remedial actions
- Provide advice and guidance on new business expansion, innovative products, customer transactions and regulatory issues in Singapore
- Handle and/or support regulatory submissions, enquiries, surveys, audits and maintain pro-active, good working relationship with the regulatory authorities
- Conduct due diligence for on-boarding/review of new and existing clients
- Promote a robust risk management and compliance culture by strengthening the existing compliance assurance activities
Qualifications:
- 8 years of work experience in areas of legal transactional and/or commercial areas, or risk management, risk control or compliance areas
- Familiar with relevant laws, rules and regulations such as SGX-ST/DC/DT Rules, SFA, FAA, MAS Regulations, Companies Act, Code of Corporate Governance, etc
If you're interested in the above role, click on the apply function now! Alternatively, you can contact Hao Yi at [Confidential Information] for a confidential discussion. Only shortlisted candidates will be notified.
Morgan McKinley Pte Ltd | EA Licence No: 11C5502 | EA Registration No. R21100351
