-NEW- 12 Months AVP, Control Room Compliance (Investment Management)

Job Responsibilities:

·       Advise on information barriers, personal investments, expert networks, research policies, and regulatory requirements related to insider trading and market abuse.

·       Manage day-to-day Control Room operations including insider lists, wall crossings, material non-public information (MNPI) assessments, dealing restrictions, and personal investment approvals.

·       Partner with technology teams and vendors to strengthen compliance systems and enhance control frameworks.

·       Monitor regulatory developments and business activities to review, update, and implement policies and processes to ensure ongoing compliance effectiveness.

·       Support regulatory inquiries by coordinating with internal stakeholders and external legal counsel to prepare responses and retrieve relevant information.

·       Conduct policy reviews, stakeholder consultations, and present proposed changes to senior management and risk committees.

·       Deliver compliance training and provide advisory support on conflicts of interest, gifts & entertainment, and external appointments or activities.

·       Perform compliance risk assessments, track key risk metrics, identify process improvements, and conduct surveillance activities to detect and investigate potential policy breaches and market abuse scenarios.

·       Adhoc tasks and projects as assigned

Job Requirements

·       Minimum Degree in a related discipline

·       Minimum 7 years of relevant experience

·       Able to start immediately or within short notice

Interested candidates, kindly email your detailed resumes in MS word format to [email protected]

Attention to Joseph Koh Wei Jie(R1873431)

Shortlisted candidates will be notified

www.ambition.com.sg

EA Registration Number: R1873431

Data provided is for recruitment purposes only

Business Registration Number:200611680D. License Number: 10C5117