AM / Manager - Global Market Front Office Regulatory Permanent Control

The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance & Control Frameworks specifically for Sanctions & Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors.

Responsibilities

PROTECTION

• Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions

GOVERNANCE

• Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution

RISK ASSESSMENT & CONTROLS

• Assess and document APAC regulatory landscape for capital markets activities
• Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements
• Materialize and maintain the GM control plan from a front to back perspective and perform mapping with Functions Global Control Plan
• Perform data analysis to assess quality of data feeding regulatory controls
• Execute regulatory controls and report results in governance documentation
• Investigate on regulatory breaches identified in controls and follow-up with relevant stakeholders to close findings

REGULATORY BACKGROUND

• Is genuinely interested in financial markets regulatory environment. Is able to analyze and document the bank regulatory landscape within the capital markets scope

CONTROLS PROFICIENCY

• Can assess control performance in terms of design and implementation quality
• Can execute regulatory controls, identify and document breaches, and remediate underlying issues. Can follow-up on control findings remediation and demonstrate assertiveness with relevant stakeholders
• Has good data mining and data analysis skills (Excel at least, Python a plus)

WRITTEN PRESENTATION SKILLS

• Can prepare quality presentations for internal regulatory governance forums (ppt)

ANALYTICAL SKILLS

• Can investigate on a complex operational capital markets breaches and incidents, liaise with SMEs, and document findings in a well structured report (good writing skills required)
• Strong attention to detail required (Focuses on the prevention of mistakes regarding information utilised or delivered).

ADMIN SKILLS

• Must be able to perform simple database administration tasks (update status of various action items resulting from governance forums)

• 6+ years of experience in a top tier financial institution in a controls team and/or within the regulatory space (controls officer, regulatory project manager, regulatory governance officer)
• Experience with Capital markets
• Demonstrated ability to analyze and solve problems independently and to build quality relationship with stakeholders
• Experience with drafting and presenting PowerPoint presentation on a regular basis