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VP APAC Quality Assurance

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VP APAC Quality Assurance

  • Location:

    Singapore

  • Sector:

    LMA Asia Legal & Compliance

  • Job type:

    Permanent

  • Salary:

    S$140000 - S$1400000 per annum

  • Contact:

    Tanu Booluck

  • Contact email:

    tanu.booluck@lmarecruitment.asia

  • Job ref:

    BBBH187735_1629451737

  • Published:

    27 days ago

  • Expiry date:

    2021-10-06

  • Client:

    LMA

AVP/VP, APAC Market Surveillance and Monitoring

Our client, a Global Investment Bank is looking for an AVP/VP to be part of their APAC Monitoring and Surveillance (M&S) teams in Singapore. You will be working in a team of 5 and should possess strong market surveillance knowledge (familiar with global market products) to independently review the surveillance processes for accuracy, relevancy, proper escalation and closure of issues.

  • Role : Compliance
  • Remuneration : up to SG$140K base per annum
  • Location : Singapore



Responsibilities of the role:

  • Conduct targeted Quality Assurance (QA) reviews on first line of defense and second line of defense in order to assess and review compliance with legal, regulatory and internal Bank policy requirements
  • Escalate potential issues and exception items noted during the review process for discussion and further investigation if deemed necessary;
  • Prepare and distribute reports to Senior Compliance Management detailing review findings and recommendations; report on significant activities conducted and planned for the upcoming period;
  • Anticipate regulatory requirements exemplified in regulatory actions and guidance and ensure the requirements are met within APAC surveillance program
  • Propose, develop and execute new reviews to address emerging trends and identify red flags within the surveillance Program;
  • Mitigate risks of exposure through process change proposals and escalations of recommendations within APAC M&S through Senior Compliance Management;
  • Lead working groups that focus on enhancing controls/quality of the trade surveillance program; define time tables and project plans while focusing on strategic initiatives;
  • Execution of CIB Surveillance Permanent Challenge and Independent Testing framework



Requirements of the role:

  • University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification
  • A minimum of 5 years' experience in monitoring and surveillance gained from global banks and have strong global market products knowledge
  • Familiar with securities and exchange rules and regulations
  • Mandarin will be a plus but not necessary as you will be covering the China market as part of the Regional Coverage

If interested, please contact gina.hui@lmarecruitment.asia
Company Reg. No.: 201131609D: Licence No.: 11C4684 : EA Reg No: R2196467