Markets Compliance Senior Associate
- 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.
- 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