Description

• Lead efforts to identify, assess, and resolve potential and actual conflicts of interest across investment banking, capital markets, commercial banking, and mergers and acquisitions.
• Review equity research for both the US and Canada, ensuring adherence to relevant regulatory safe harbor rules, including SEC rules and local regulations.
• Collaborate with Global Control Room partners to implement and enhance conflict management frameworks, policies, and procedures continuously.
• Drive the enhancement of conflict management systems and tools, ensuring they meet regulatory expectations and align with business requirements.
• Act as a senior advisor to business units and compliance stakeholders on Core Control Room activities, while mentoring junior team members to promote a culture of compliance and continuous improvement

• Over 8 years of work experience in compliance in a reputable investment bank.
• University degree or professional qualification in Law / Finance / Accounting / Business or related disciplines.
• Sound knowledge of rules, regulations and statutory requirements of MAS and/or other regulatory bodies.
• Effective communications skills (written and spoken).
• Good interpersonal skills and a team player.
• Ability to work under pressure.
• Independence and robustness.
• Personal authority, integrity, and ethics.