Associate Director, Capital Markets Compliance, Hong Kong and Singapore

RBC

Job Details

Location: Singapore, Southeast, Singapore Posted: Sep 01, 2021

Job Description

What is the opportunity?

As the Associate Director, Capital Markets Compliance, Hong Kong and Singapore, you will be responsible for protecting RBCCM’s brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by aligning regulatory priorities with the Business and RBC; creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed; establishing and maintaining a strong, effective control environment to provide a framework; and identifying and communicating compliance risks inherent in the business to senior management and the business.

What will you do?

To provide compliance support to Capital Markets Singapore and Hong Kong Global Investment Banking, Fixed Income and Currencies sales and trading, Global Equity Derivatives and Treasury and Market Services
To prepare relevant compliance policies and procedures for the businesses
To review regulatory rule changes issued by relevant regulators, exchanges and other regulatory bodies and amend procedures where necessary
To liaise where necessary with the relevant regulatory bodies and exchanges in relation to any queries raised by such bodies or to request guidance on any matters
Participate as required in internal investigations into potential breaches of regulatory requirements or firm policy
To assist assessments in any new initiatives undertaken by businesses by advising on any applicable regulatory requirements that may have impact on such initiatives
To provide pro-active, timely advice on the relevant regulatory and firm policy requirements in respect of ad hoc queries, specific transactions, new product initiatives etc.
To promote observance of high standards of business conduct and ethical standards.
To conduct monitoring and testing on covered businesses
To update the Regulatory Compliance Management tools and Issue Management when required
To provide training to staff at all levels on the application of the relevant regulations and the standards expected

What do you need to succeed?

Must-have

Good knowledge of regulatory framework including cross border implications
In-depth knowledge of MAS and preferably HKMA, SFC and APAC rules and regulations
Good knowledge of Global Markets products and their risk management policies and processes.
Good organisational and communication skills
Ability to work well in a team and build relationships at all levels of the bank
Ability to conduct duties expediently with the minimum of supervision
Aptitude for accuracy, attention to detail, and hands-on approach
Good computer literacy, knowledge of Word, Excel, PowerPoint and Outlook essential

Nice-to-have

Degree educated

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

A comprehensive Total Rewards Program with competitive compensation, bonuses and stock where applicable
Leaders who support your development through coaching and managing opportunities
Work in a dynamic, collaborative, progressive and high-performing team
Access to a variety of job opportunities across business and geographies as you develop over time

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JOB SUMMARY
City: Singapore
Address: Level 26, 8 Marina View #26-01 Asia Square Tower 1
Work Hours/Week: 40
Work Environment: Office
Employment Type: Permanent
Career Level: Experienced Hire/Professional
Pay Type: Salary + Variable Bonus
Required Travel (%): 0-25
Exempt/Non-Exempt: N/A
People Manager: No
Application Deadline: 09/23/2021
Platform: Group Risk Management
Req ID: 403252
Ad Code(s):

About RBC

RBC is a Canadian multinational financial services company and the largest bank in Canada by market capitalization.

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