Manager, Control Room, Asian Coverage

Group Compliance is committed to implementing Best Practices across all business units. It provides thought leadership, oversight and guidance for a strong compliance culture and framework.

Reporting to a Senior Manager, the incumbent will be part of Singapore's Group Compliance team, undertaking the following responsibilities:

Monitoring the Chinese Walls within the Bank, particularly timely input and maintaining the Bank's Restricted Lists (ie grey lists, blackout lists) Administering and implementing the Bank's Blackout Lists and instituting the relevant restrictions on research, PIP and proprietary trading Monitoring and clearing equity research against the Bank's Restricted and Blackout Lists Reviewing research guidelines for transactions to ensure compliance with regulatory and syndicate restrictions(includes pre-deal research) Assist in managing conflicts by performing timely conflict clearances by Business Units Facilitate Chinese wall crossings and maintaining the Wall Crossing Register Conducting compliance related training, policy reviews on the bank's personal investment policy, chinese wall policy and conflict clearance policy Perform monitoring of staff personal trades and escalating irregularities Disseminating and analysing impact of new regulations and consultation papers Perform annual fit and proper reviews

The ideal candidate will possess the following qualities:

Degree in Banking or Finance or Business with 6 to 8 years experience in a Bank or securities firm with experience in control room environment Experience reviewing and clearing of equity research and pre-deal research reports Familiar with SFA, FAA (including licensing matters and insider trading requirements) Experience in conflict management and familiar with securities products and Chinese wall issues Confident to provide compliance trainings to business units

If you are interested in this position or would like further information, please send your CV by clicking on the appropriate link, alternatively phone Abigail Lim on +65 6590 9142.

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