FX businesses in Singapore, Sydney, Seoul and Beijing
Equities brokerage businesses in Sydney and Hong Kong
Securities Lending function in Singapore, Sydney, Hong Kong
Treasury function in Melbourne
The Markets Compliance function works closely with in-country compliance, ensuring consistent application of the framework. This role is also responsible for the policy and training framework for the markets businesses in the Asia Pacific region.
As part of the Asia Pacific compliance team, this role is in the second line of defence and will assist in the implementation of the Compliance model. The Compliance function is responsible for ongoing oversight and reporting regarding regulatory obligations to senior compliance and business management.
This role will report to the APAC Head of Compliance based in Singapore.
Overall responsibility for APAC policies and procedures for the APAC markets businesses
Advise senior management and business partners on applicable laws, regulations, rules, standards and best practices which may impact their business
Partner with senior management, business partners and in country compliance to implement markets compliance programs, including training on such programs
Develop and implement a monitoring and surveillance program for markets businesses
Identify, document and drive business acceptance of markets compliance risks
Validate markets related regulatory requirements within department's country rules maps
Implement and ensure tracking of markets related regulatory changes
Review markets related risk assessments conducted in-country
Identify areas for control enhancement in either the first or second line of defense
Work in partnership with the wider Compliance, Risk and Controls teams
Draft and issue policies and procedures for APAC markets businesses, including for internal compliance use
Produce and analyze Compliance reports and data for internal committees and boards
Prefer knowledge of Custody, Asset Servicing, FX, Fund Administration, Brokerage businesses as well as corporate governance such as outsourcing, data privacy and bank secrecy requirements. AML experience is a plus.
Lead projects and increase understanding of project management methodologies
Fluent in English and ability to communicate in a clear, concise and effective manner (verbal and written)
Understanding of regional regulations (e.g., MAS, SFC, JFSA, APRA, ASIC, Korean FSC / FSS, CBIRC / PBOC) and relevant laws
Experience providing compliance advisory and operational support
Strong organisational skills, a collaborative approach to work, with strong interpersonal skills
Ability to use initiative and work unsupervised in a proactive manner
10 years of related experience
Internal Number: 5492980
About Wellesley Partners Ltd
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