Key Responsibilities:
- You would be expected to administer compliance programs managed by the Compliance Control Room such as list maintenance, wall crossing, conflict management, research, regulatory requests, insider trade reporting as well as securities aggregation.
- You would be expected to assist in preparing reponses to inquiries from regulatory bodies as they relate to Control Room Functions.
- The incumbent should act as an SME and fields questions on issues of interpretation with respect to the policies administered by the Control Room.
- You would be expected to make decisions or escalate issues within the strategic framework set by the Director.
- You are expected to contribute to the delivery and successful implementation of new technology.
- Finally, you would be expected to support the APAC Central Compliance team and Asia Control Room in matters relating to administration, review and coordination work pertaining to key regional Compliance policy and procedures.