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Markets Compliance Senior Associate

Responsibilities

Responsible for delivery of review/testing plan, engagement with international locations to facilitate exchange of best practices and alignment of controls framework.
Educate the business in control best practice by applying current industry and regulatory knowledge, technical expertise and complying with relevant policies.
Understanding of policy alignment and embedding frameworks
Maintenance of the risk and compliance monitoring framework, working in conjunction with first line control function to ensure effective risk oversight in line with MAS guidance /expectations.

Qualifications

5 to 7 years' experience in audit or compliance in the markets business
Advanced knowledge of MAS and trading rules
A good understanding of the Banking act, Securities & Futures Act and Financial Advisers Act (including specific related certifications) a plus
Ability to develop and maintain relevant external links with regulatory bodies and external auditors and maintain knowledge of relevant laws and regulations and auditing best practices

EA. Licence number: 17S8548 | EA. Registration number: R1105334