Seeking an experienced Investment Banking Compliance Advisory candidate that is looking for a regional, standalone role with a global investment bank.

Summary
Serves as a senior Global Investment Banking (GIB) product compliance officer for Compliance Department responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and engages with the other compliance teams, in order to partner to develop and apply compliance program framework that meet the PanAsia businesses and customer needs in a manner consistent with the compliance framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on Pan-Asia GIB and the associated regulatory rules/laws and interpretation on internal policies and procedures.
 
Responsibilities

• Responsible for a range of regulatory compliance functions including providing compliance advise to GIB front
  office staff, being involved in regulatory-related projects, and leading compliance risk assessments for the relevant
  businesses.
• Provide pro-active advice to GIB front office staff on a variety of deals and business activities, which include merger
  & acquisition, capital markets & financing, credit markets & global structured credit solutions, and relationship
  coverage, taking into consideration regulatory and reputational risks to ensure compliance with regulatory
  requirements.
• Respond to requests for guidance on compliance issues or concerns, as well as to assist with the identification and
  remediation of compliance risk in the GIB business.
• Partnering with other teams and global functions, including Legal, Risk, Operations and Technology, and Finance to
  prevent and detect non-compliance issues and promote a culture of compliance.
• Participate as subject matter expertise in ad hoc projects, providing compliance inputs in collaboration with
  regional and Head Office Compliance and other relevant stakeholders.
• Ensure close coordination with Regional GIB Compliance team and provide insights from regional perspective
  where required.
• Create a culture of effective compliance that is embedded throughout the business and ensure adherence to
  internal policies & procedures in relation to GIB activities
• Help to ensure the firm has a robust set of policies & procedures to comply with regulatory and rules relating to GIB
  activities.
• Help to ensure GIB policies, procedures and guidelines are up-to-date, providing input and liaising with regional and
  Head Office teams.
• Assess whether specific conduct or activities comply with applicable regulations, market standards and internal policies & procedures.
• Provide timely and accurate responses to regulatory enquiries, investigations, and inspections.
• Conduct staff training and support development needs and plans with a focus on banking businesses.
• Involve in control room functions and process from time to time, including advise and management of conflict of interests, information barrier, wall crossing etc.

Skills and Qualification

• Bachelor degree holder in relevant discipline.
• Minimum 10-15 years' relevant banking experience (preferably in a compliance or legal role) gained from leading international banks.
• Control Room experience is a plus.
• Good understanding of the banking regulatory environment in APAC, including Singapore, Hong Kong and Australia.
• Must be a self-starter, flexible, innovative and adaptive
• Highly motivated, strong attention to detail, team oriented, organized
• Strong presentation skill with the ability to present information in a clear and concise manner