Compliance Control Room Specialist - AVP

About the role

As an Assistant Vice President in the Compliance Control Room team, you will manage Legal, Regulatory and Reputational Risk across all lines of business. The role covers market abuse and potential conflicts of interest through information barriers, regulatory insider lists, and the ongoing operation of the Watch List and Restricted Lists. You will also support Business Oversight Compliance, including reviewing issues in Investment Banking and Research, verification checks, training and risk assessments.

Key responsibilities

• Evaluate controls for banking activities such as advisory services, information barrier controls and the flow of MNPI, triggering downstream monitoring and surveillance controls and research conflict clearance under US Securities law
• Monitor and evaluate risks from business activities, regulatory changes and internal control requirements
• Investigate reported control breaches, find root causes and assess their impact, then implement corrective actions
• Maintain up-to-date documentation of control room activities, risk assessments, investigations and corrective actions
• Develop procedures for responding to and managing information barrier breaches
• Maintain accurate records of inside information, watch list, restricted list and wall crossings
• Support Business Oversight Compliance, including investment banking and research reviews, verification checks, training and risk assessments

Required profile

• University graduate (or higher) with solid compliance experience in financial services and relevant control room experience
• Strong understanding of information control, conflicts of interest and the current regulatory environment, including market conduct and research settlement rules
• Excellent oral and written English, able to communicate complex and sensitive information
• Detail-oriented, able to meet deadlines and to uphold compliance positions under pressure
• Legal right to work in Singapore; visa sponsorship must be declared if applicable

Required skills

• Proficiency in all Microsoft packages and aptitude with IT systems
• Desirable: VBA, Tableau, SQL and/or Python
• Desirable: Chinese language skills