Head Compliance Singapore

At Vontobel, we are committed to actively shaping our future. We create and pursue investment opportunities that get our clients ahead. As a global financial service provider with Swiss roots, we specialize in wealth management, active asset management and investment solutions that fit.

For our subsidiary in Singapore (to become an MAS regulated CMS licensee), we are currently seeking a forward thinking, investment enthusiast to join us as the Head of Compliance.

Your Challenge

·         Be the go-to-person for compliance related regional queries on all entities, evaluate regulatory implications of business decisions

·         Liaise with various regulatory bodies in APAC, to review upcoming regulations and perform gap analysis against current policies and frameworks

·         Formulate policies and maintain internal compliance control on operations

·         Review marketing material to ensure investors are aware of the transaction nature and mitigate risk of mis-selling

·         Responsible for other general compliance issues i.e. tax compliance, data protection, conflict of interest, anti-bribery & corruption as well as outsourcing

·         Develop, implement and maintain a Compliance Framework for CMS licensee

·       Ensure Para 9 compliance (Custodial Services, Dealing in Securities)

·       Conduct independent review of staff activities according to regulations and internal policies, and recommend solutions to management in case of any breaches;

·       Update and develop compliance manuals to ensure that they reflect applicable regulatory guidelines, best practices and internal standards;

·       Responsible for clients on-boarding from a compliance prospective including but not limited to KYC, AML, client suitability, etc. target clients will be mainly institutional investors and accredited investors;

·       Ensure that the business activities are in compliance with applicable cross-border rules;

·       Collaborate closely with other Vontobel entities including the group’s head quarter in Zurich and the legal entity in Hong Kong in order to ensure consistency, efficiency and accomplishment of the group’s overall Compliance framework;

·       Maintain the optimal balance between our client-focused culture and 100% compliant business practice;

Prepare and provide on-going compliance trainings to all staff in Singapore.

 

Your Qualification

·       University degree in law / economics or equivalent

·       7+ years relevant compliance experience in the region, extensive working experience with MAS will be a major plus;

·       Solid knowledge on unlisted structure investment products market in Asia (Note and OTC), with a strong understanding of cross-border topics and regulatory environment;

·       Possess the overall compliance know-how on how to run licensed entities in Singapore;

  • Fluent in written and spoken English is a must, other languages such as Cantonese Chinese is a plus;

 

Location

Singapore / 8 Marina Blvd / Marina Bay Financial Centre (Tower 1), #04-03

 

Contact

Tomasz Scibisz
+41 (58) 2835345
Corporate Human Resources