Manager - Group Compliance – Corporate & Regulatory Affairs /Staff Trading
- Permanent, Full time
- United Overseas Bank
- 18 Oct 17
Manager - Group Compliance – Corporate & Regulatory Affairs /Staff TradingTo assist in the day-to-day management of personal account dealing or personal staff trading matters and ensure that covered staff subject to Staff Trading Policy comply with its requirements for staff personal securities trading activities.
- To advise covered staff on insider trading laws, the staff trading policy and manage risks posed by conflicts of interest.
- To onboard covered staff to the pre-trade clearing system.
- To own, review, update, maintain and enhance the staff trading policy, operating procedures, administrative guideline and FAQs to reflect changes in the business environment and regulatory landscape.
- To own and maintain the pre-trade clearing system including reviewing and updating the business rules.
- To own, manage and maintain the staff trading desk including the staff trading mailbox and responding to queries from covered staff (via telephone and email).
- To periodically re-evaluate and update list of covered staff.
- To regularly review the designation of staff, business units and support units to determine whether they should fall under the staff trading policy.
- To conduct compliance review on covered staff trades.
- To conduct investigation on any staff trading violations.
- To review the monthly violation reports and query covered staff concerned.
- To develop, review, maintain, update and deliver staff trading training programs (both face-to-face and online) and other education materials.
- To support audit and regulatory requests for information.
- To handle other duties as assigned by the Division Head.
- Bachelor's degree in Accounting, Business, Banking & Finance, or equivalent
- At least 5 years in compliance, audit, risk management or regulatory work in the financial services industry.
- Experience in handling staff trading matters.
- Understanding of the applicable insider trading laws.
- Knowledge of financial instruments (e.g. equities, fixed income).
- Ability to work independently.
- High personal standard of ethics, integrity and commitment to fulfilling the objectives of the position.