The integrated functions help to manage firm and personal conflicts more effectively while ensuring employees continue to uphold the Values and Behaviours.
As a member of the team, you will contribute towards the management of critical activities covering
Personal Account Dealing
Outside Affiliation and Private Investments
Gifts and Entertainment
Breach Management and Reward
Licensing and Registrations
What will you be doing?
We seek experienced individuals with excellent stakeholder and communication ability to support the business and organization and undertake these responsibilities
Provide coverage on employee compliance activities such as clearance of requests, exceptions including issuing breaches
Understand, explain and advise on Employee Compliance policy requirements within the team itself, to the Compliance department more broadly and its employees as required
Embedding and ensuring high control standards and high quality work product through four eyes checks and supervisory reviews.
Attending relevant group calls as required (for example, being present at a Global team call for the PA dealing team).
Supporting the development of activities relating to Employee Compliance Surveillance and assist with any technology project including UAT Testing
Ensure issues are properly escalated to BX Compliance APAC senior management including recommendations to rationalize any processes carried out by the team
Developing and assisting in the production of relevant MI relating to the activities and responsibilities performed by the team for both Compliance and Business management
Recommending and improving where possible any processes carried out by the team.
Assist with executing the end-to-end process and quality assurance for Employee Compliance functions
What we're looking for:
5-8 years of experience in Financial Services industry with at least 3-5 years of experience in relevant compliance or other risk control function
1-2 years of experience in managing a team (regional or overseas) in your current role
Knowledge of Employee Compliance areas (including but not limited to Personal Account Dealing, Private Investments, Outside Affiliations, Gifts and Entertainment, Registrations and Breach Management) is mandatory
Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities;
Ability to interpret complex regulatory concepts and translate into simple summaries and at the same time anticipate and provide solutions to complex problems.
Ability to analyse and interpret regulatory rules and their impact on the business
Confident and concise communication skills (verbal and written). Capable of distilling complex concepts and effectively conveying them to people of varying seniority levels
Skills that will help you in the role:
Strong communication skills, both written and verbal, and must be able to communicate with employees at all levels within the company
Ability to confront conflict and difficult issues in a professional, assertive and proactive manner while remaining sensitive to business needs
Capable of representing and enforcing compliance with regulations with personnel at all levels of seniority, comfortable delivering difficult messages to the business in a positive way
Self-starter with the ability to meet or exceed expectations, meet deadlines, prioritize work, multi-task and maintain flexibility in fast-paced, changing environment
Independent and proactive person who challenges processes and looks for improvement
Data analytics skills (eg. Tableau) would be desirable
Where will you be working?
You will be part of the Compliance function that operates as one team to drive the right customer outcomes and protect the integrity of the financial services markets through innovation. People are a key component of the success of Compliance and are expected to play a central role in business decision-making, with the ability to lead and be a key component in complex projects.
We aim to foster a culture where individuals of all backgrounds feel confident in bringing their whole selves to work, feel included and their talents are nurtured, empowering them to contribute fully to our vision and goals.
EA REG: R1102810
EA LICENSE NO: 11C4684
COMPANY REG NO: 201131609D
Internal Number: 5480346
About LMA Recruitment, EA Licence No: 11C4684
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