• Competitive
  • Singapore
  • Permanent, Full time
  • LMA Recruitment
  • 15 Mar 18

Director - Equity Derivatives Trading Compliance - Hong Kong or Singapore

Our client is a diversified financial group providing clients with asset management and finance, banking, advisory and risk and capital solutions across debt, equity and commodities.

You will be entering as an Associate Director joining the leadership team of Compliance division within the Risk Management Group in Asia. You will be positioned with the head of their industry acclaimed EDT business in Singapore.


You will be accountable for ensuring co-ordination of the compliance risk management function for the EDT business, including but not limited to, the coordination of Compliance Control Room, OTC Regulatory Compliance, Financial Crime Compliance, Monitoring & Surveillance, and Central Compliance actions and outputs impacting the EDT business. Provide timely, proactive and reliable compliance advice. Accountable for pro-active identification, mitigation and escalation of potential and actual compliance risks and issues impacting the EDT business. You will take responsibility for the maintenance of the prioritized register of regulatory returns in co-ordination with market operations (MOD) and Compliance teams.

You will take the lead advising on the appropriateness and effectiveness of controls designed to manage compliance risks. Provide input into and to coordinate follow-up on any compliance related inquiries in consultation with other Compliance and RMG areas.     

You will act also as a change agent, proactively identifying upcoming compliance changes and regulatory obligations and risk assessment of initiatives that impact the business and in collaborating with the EDT COO and legal teams to determine the impacts to the business, prioritise workflows & ensure adequate training.  You will take the lead on proactive communication maintaining the collaboration between the EDT business and RMG divisions, being a trusted escalation point for issues and/or concerns. You will act as the proactive source of information of any compliance team, policy changes, regulatory visits and reporting any findings that are of relevance to EDT.


They are looking for someone with a deep understanding of the equity trading business and regulatory environment in Asia, someone able to deliver expert advisory alongside an effective change agent for continuous improvement. Knowledge of the Asia regulatory environment is a plus an ability to engage and influence stakeholders is a requisite.

EA Reg no: R1216327

EA Licence No: 11C4684

Company Reg. No: 201131609D


Singapore Singapore Singapore SG