The purpose of the role is to oversee those aspects of the Asia IM Compliance Program related to non-banking products which includes acting as the regulatory intermediary and business advisor, as well as providing an independent oversight function to ensure that reputation and regulatory risks are considered, analysed and mitigated as appropriate.

The position will report to Head of Asia Global Wealth & Investment Management Compliance. 

Requirements

10+ years experience with good product knowledge, preferably across a full spectrum: Structured Products; Derivatives; Alternative Investments; Equities, Fixed Income; Origination. 

Sound knowledge of Hong Kong and Singapore regulations. Broader knowledge of product related Asian, US and European regulations would be of great advantage.

Working knowledge of US, UK and/or Asia Pacific region securities regulatory framework

Excellent negotiating and interpersonal skills, solution driven, confident and highly motivated.

• Experience with a global securities firm and/or regulator is a preference. 

Responsibilities

• Providing advice on application of rules and policies to specific transactions and general business activities based on an understanding of business strategies and products.
• Partnering with business, to write supervisory and compliance policies and procedures.
• Reviewing new products and other new business initiatives.
• Partnering with other control functions and global GWIM and regional GM&GIB compliance (i.e. Audit, Operations, Legal, MRM & CRM, ORM) when matters of common concern arise.
• Creating and implementing policies and procedures to promote compliance with legal and regulatory requirements.
• Monitoring the activities of the business covered in cooperation with the surveillance area, to look for instances or patterns of unusual or inappropriate activity.
• Identifying training needs of staff and providing appropriate training.
• Developing and maximizing industry connectivity.
• Handling routine regulatory reviews and enquires. 

If you have an Investment Banking background and the relevant experience please send your CV in the first instance to pathay.singh@reedglobal.com