AVP/VP - Group Regulatory Compliance (Chat Surveillance and Control Room)
- Provide regulatory advice to Global Treasury and Investment Banking.
Qualifications Job Requirement
- Develop and maintain appropriate, effective and practical policies and procedures to comply with regulatory requirements, to mitigate the risk of conflicts of interest and insider trading, and to identify and detect any potential staff misconduct.
- Advise Global Treasury and Investment Banking on the Bank's policies and procedures including but not limited to those relating to benchmark submissions, chat surveillance and insider trading and Chinese Wall.
- Review conflicts of interest assessment performed by Global Treasury and Investment Banking to ensure that any potential or actual conflicts of interest are addressed.
- Perform chat surveillance and control room work.
- Manage projects assigned.
- Liaise with regulators and auditors.
- Provide regulatory compliance trai ning
- Possess a university degree
- Minimum 6 years of relevant experience in regulatory compliance, business/ operational compliance or audit within or in respect of the banking/ financial sector.
- Experience in chat surveillance and control room functions preferred but not required.
- Knowledge of relevant regulations relating to treasury and investment banking preferred but not required.
- Prior experience in implementation of policies and procedures and systems will be an advantage.
- Good interpersonal and communication skills.
- Proactive, independent and resourceful.
- Embodies team work.
- Ability to adapt to changes.
- Ability to work under time constraint and pressure.