Vice President, Legal & Regulatory, Equities Compliance (Trading)

Temasek Holdings; Singapore (MI); On-site; USD 120,000 - 180,000; Full time

Job summary

An established industry player is seeking a Vice President for Legal & Regulatory in Equities Compliance. This pivotal role involves providing compliance advisory, establishing internal policies, and managing regulatory risks for equities trading. The successful candidate will have extensive experience in compliance within financial institutions and a strong understanding of financial regulations. Join a forward-thinking company committed to sustainable returns and making a difference for future generations. This is an exciting opportunity to influence compliance strategies and ensure adherence to regulatory standards in a dynamic environment.

Qualifications

• Degree holder with outstanding academic record.
• 8+ years of experience in compliance and regulatory roles.

Responsibilities

• Provide equities compliance advisory and establish internal policies.
• Manage exceptions and escalations related to policy deviations.

Skills

Equities Compliance

Regulatory Knowledge

Risk Management

Analytical Skills

Education

Degree in related field

Job description

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Vice President, Legal & Regulatory, Equities Compliance (Trading)

Location :

Group : Corporate Group

Department : Legal & Regulatory

Section : Regulatory & Internal Compliance

Job Type : Permanent

Temasek is a global investment company headquartered in Singapore, with a net portfolio value of S$389 billion (US$288b, €267b, £228b, RMB2.08t) as at 31 March 2024. Marking our unlisted assets to market would provide S$31 billion of value uplift and bring our mark to market net portfolio value to S$420 billion.

Our Purpose “ So Every Generation Prospers ” guides us to make a difference for today’s and future generations.

Operating on commercial principles, we seek to deliver sustainable returns over the long term.

We have 13 offices in 9 countries around the world : Beijing, Hanoi, Mumbai, Shanghai, Shenzhen, and Singapore in Asia; and Brussels, London, Mexico City, New York, Paris, San Francisco, and Washington, DC outside Asia.

We are recruiting an equities reporting professional to join our Regulatory and Compliance team based in Singapore (which is part of the firm’s Legal and Regulatory Department). This role will report to the Joint Head, Legal & Regulatory.

Responsibilities

• Assume senior responsibilities for providing equities compliance advisory and establishing internal policies, procedures, and processes to mitigate risk of regulatory violations for equities trading, maintaining risk levels within the firm's risk appetite while protecting the firm.
• Provide equity compliance coverage to Portfolio Managers and Investment Groups and other 2nd Line functions, including providing compliance guidance on regulations relating to operational issues, transactional approvals and the application of internal compliance policies for BAU activities.
• Proactive regulatory change management for impacted coverage areas through participation in business, industry and regulatory initiatives and trade groups.
• Design and deliver applicable training for business unit personnel.
• Manage exceptions, and escalations relating to policy deviations and carrying out root-cause analysis for certain risk incidents.

Requirements

As a successful candidate, you'd ideally have the following skills and exposure :

• Degree holder from a related field, preferably with an outstanding academic record.
• At least 8 years’ experience in a similar compliance and regulatory role at a financial institution, regulatory authority, broker-dealer, or buy-side firm.
• Strong overall product knowledge and regulatory experience within equities and equities derivatives (including ETFs and listed options).
• Demonstrate experience with the implementation of trading and equity compliance projects, policies, and programs.
• Possess working knowledge and familiarity with financial regulations such as SFA, EMIR, MiFID and applicable HK SFC and SEC trading rules.
• Experience in the design and implementation of Compliance programs.
• An ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions, and find resolution with senior stakeholders.