Summary

Provide compliance support to Global Markets Department in the Singapore Branch and to assist the various product lines in complying with the applicable laws rules and regulations as well as CACIB policies and procedures. 

Key Responsibilities

• Provide compliance support to the Global Markets Department of the Singapore Branch
• Work closely with GMRC and other divisions within the local Compliance Department to ensure seamless support to the business lines.
• Reinforce the management of non-compliance risk: anticipation, identification / assessment, monitoring, relevance of controls and related actions plans, escalation.
• Ensure regulatory requirements and expectations are met, maintaining regulatory watch, necessary governance, assessment exercises, systems, controls and reporting, and promote a culture of compliance.
• Management Information to demonstrate non-compliance risks are satisfactorily managed, with related new regulatory expectations and / or newly identified improvement actions if necessary. Contribute to IMI and monthly reporting as well as CMC reporting.
• Tangible progress on existing remediation plans (MAR, Transaction Reporting, Swap Dealer etc.)
• Collaborate with global and regional GMRC teams to implement global regulatory requirements.
• Ensure the appropriation by the 1st line of defense of non-compliance risk and an adequate articulation of the risk assessment and controls between the 1st and 2nd line of defense.
• Act as business enabler, in partnership with the 1st line of defense, to manage non-compliance risk and support business development / strategic initiatives (expertise, solutions)
• Develop training and communicate on purpose, completion rate and quality, and ensure due implementation and completion of global and local Compliance training modules to relevant staff
• Effective and prompt regulatory advisor to the business line in strict adherence to laws rules and regulations.
• Ensure completion and implementation of requirements concerning trade surveillance and monitoring/testing applicable to GMD business (including execution of surveillance / monitoring / testing tasks, investigation into alerts etc).

Legal and Regulatory Responsibilities

• Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the Singapore Compliance manual and the Financial Crime Policy. Complete any mandatory training in line with legal, regulatory and internal Compliance requirements.
• Maintain appropriate knowledge to ensure to be fully qualified to undertake the role. Complete all mandatory training as required to attain and maintain competence.
• Refrain from taking any steps which could lead to the removal of certification of fitness and properness to perform the role.
• Undertake all necessary steps to satisfy the annual certification process.
• Comply with all applicable conduct rules as prescribed by the relevant regulator.

• Strong knowledge in capital markets regulations (eg. SFA, FAA, BA and foreign regulations such as DFA etc.) and products as well as industry standards and practices

• Minimum of 15 years of relevant experience in a banking institution, regulator or audit firm

• Work seamlessly with GMRC and the local Compliance team
• Represent the team at both internal and external meetings/events
• Ability to handle multiple tasks simultaneously
• Perform responsibilities quickly and accurately in short time frames under pressure
• Highly motivated and possess maturity to handle challenging situations