Senior Compliance Manager - Global Markets

Job description / Role

Senior Compliance Manager - Global Markets 

The main responsibilities of this role is to support the Group’s compliance strategy in their compliance plans to deliver a strong and integrated Compliance agenda. 

- Provide oral and written general compliance and transactional advice to Global Markets  on compliance policies and procedures and relevant laws, rules and regulations
- Participate in the New Product Approval and assessment process for relevant Global Markets  business areas, providing compliance advice and sign-off on activities/transactions
- Engage with senior business management across Global Markets providing them with compliance advice, management information and compliance support with respect to regulatory aspects of the business they operate.
- Assist in implementation of new policies and procedures and updating existing policies and procedures in response to or in anticipation of rules and regulation changes
- Initiate and lead on strategic projects and initiatives on monitoring and surveillance to implement the function-wide solutions in order to mitigate regulatory and reputational risks
- Manage enquiries from stakeholders such as Global Markets documentation, Legal, Middle Office, Operations and Group Compliance and provide subject matter expertise on Global Markets Compliance matters from time to time.
- Conducting and leading compliance monitoring on Global Markets businesses to ensure compliance with relevant rules, policies and working with stakeholders on completion and resolution of action items.
- Assist in the creation, implementation and monitoring of the Global Markets  Compliance framework and plan that properly addresses  Compliance needs and requirements in line with laws, rules and regulations.
- Regularly monitor the implementation of the corrective action of compliance related findings for the Global Markets business and provide periodic reporting to Group Compliance and ensure proper compliance through effective communication with related parties across the Group.

- Escalate material Compliance issues to the respective Compliance units as necessary.
- Execute other duties as directed by the Head of Compliance – Global Markets
- Managing Bank’s compliance with standards and regulations

Requirements

Key Requirements:

- Bachelor’s Degree in Management, Banking or Finance, preferably with certification in compliance, risk management or internal audit.
- At least 8 to 10 years of Compliance experience including Global Markets business Compliance experience
- Excellent understanding of regional international laws and regulations pertaining to Global Markets
- Excellent project management skills with strong control
- Team player, able to meet tight deadlines and manage challenging workload

About the Company

Building businesses, changing lives

At Tandem, we’ve built a vast network of top-tier professionals across the globe. We empower businesses to thrive by delivering unmatched talent solutions. With our global reach, collaborative approach, and unwavering commitment to excellence, we drive transformative growth and shape exceptional teams.

Who we are.

We are a team of industry experts, driven by a passion for innovation and excellence. We are dedicated to providing unique talent solutions and nurturing collaborative partnerships that redefine success.