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Legal Counsel
Legal Counsel
My client is one
of the oldest and largest international retail financial services organisations
in the world. Their Asian business currently requires two people to join their
general counsel team.
The Asian
business of the group has market- leading life insurance, fund management and
consumer finance operations across the region. They serve well in excess of 20
million customers and manage nearly $500 billion in assets. The markets they
cover from their Singapore
hub include China, Hong Kong, India,
Indonesia, Japan, Korea,
Malaysia, the Phillipines, Singapore, Taiwan
and Vietnam.
As the business
continues to expand, so they require additional heads within their legal team
to facilitate further growth.
Currently the
require two people to join the general counsel team. The areas covered will
incorporate both litigation and general corporate commercial
responsibilities.
Previous
experience within this industry is not required, although a solid track record
in either of the above areas is obviously preferred.
Interested
candidates are invited to send their profile or contact details to
jwinter@morganmckinley.com.sg or phone 6557 4692 for a confidential discussion.
Only candidates
who are short listed will be contacted by a member of our consulting team
Compliance Vice President Equities
Compliance Vice President Equities
Prestigious Financial Services House
Our client is a top tier global bank that has an excellent
reputation in the region. Due to growth and increased numbers of ISDA Master
Agreements and other agreements within Asia, they are seeking an equities
documentation negotiator to join their team in Singapore.
Reporting to the documentation team lead, the responsibilities
include:
·
Drafting and negotiating trading agreements with the banks
counterparties in various jurisdictions including Singapore,
Indonesia, Malaysia, Phillipines,
India, Pakistan, Vietnam,
Thailand, Hong
Kong, Taiwan, Australia and the UK.
·
Preparation of pricing supplements and other note documentation in
the region.
·
Providing expert consultative services to the bank's internal
stakeholders and counterparties on documentation and market issues.
·
Building relationships with both internal and external
stakeholders
As such our client is looking for candidates with:
·
A strong educational background- a good degree from a recognised
university.
·
Two or more years experience with ISDA agreements, loan agreements
or other financing documents.
·
Experience with capital markets assett classes, preferably
equities.
·
Excellent communication skills, good attention to detail and have
the ability to work under pressure in a fast- paced, performance-driven
environment.
Interested candidates are invited to send their profile or contact
details to jwinter@morganmckinley.com.sg or phone 6557 4692 for a confidential
discussion.
Only candidates who are short listed will be contacted by a member
of our consulting team
Senior Legal Counsel- International Media Business
Senior Legal Counsel- International Media Business
Our client is one of the strongest global brands in the
cross platform media industry. They are currently looking for a senior legal
counsel to join the existing team of 10 lawyers.
This role will:
·
Provide legal representation to the Company in connection with
purchase and sales, accounting and financial transactions, marketing and
licensing, technical services and other commercial transactions.
·
Provide legal counsel and services to the officers and senior
management of the Company regarding regulatory requirements and registrations,
employee/ labor law, intellectual property rights, content regulation, dispute
resolution, corporate and company law and contract law.
The ideal candidate will have some or all of the following:
·
6-8 years PQE as a commercial lawyers
·
Progressive experience in Content Acquisition, Content Licensing,
Commercial Law. Ideally experience with Intellectual Property Rights.
·
Ideally good working knowledge of the media industry and the legal
and regulatory framework within which the business operates.
·
A strong team player with excellent interpersonal skills to
establish effective working relationships with internal and external contacts
at all levels.
·
Effective negotiating, time- management and self- scheduling
skills and the ability to remain confident and assured in difficult
circumstances.
·
Ability to maintain sustained efficiency and effectiveness in
performance, particularly when under pressure and with a heavy workload
Vice President- Compliance
Vice President- Compliance
Market Leading Asset Manager
Our client has one of the strongest brands in many of the
banking activities in which they are involved. As additional headcount, they
now require a VP to join the asset management compliance team.
The Compliance Department is a service-oriented department
which provides guidance, advice and training to all business and support staff
at the Firm, including investment management, sales, trading, research,
investment banking, financial, administration and operational staff. It also
undertakes surveillance activities by utilizing systems and exception reports
to monitor business and operational activities.
The candidate will work in the investment management compliance team and report
to the team head. The role covers a wide range of compliance matters relating
to investment management businesses and involves working closely with the
portfolio management, sales and marketing, and operations team as well as legal
and compliance counterparts of the Firm both locally and globally.
Principal duties include:
• Advising business and infrastructure units on the applicable external and
internal requirements in relation to their activities;
• Surveillance of portfolio management activities such as investment guideline
monitoring and trade monitoring;
• Keeping track of regulatory developments, assessing their implications to the
business, and assisting in the implementation of necessary action plans.
• Presenting to senior management on key regulatory and
compliance issues;
• Review of new business initiatives and/or product development and provision
of regulatory and compliance advice;
• Monitoring of employees’ personal investment transactions and outside
activities;
• Coordination and preparation of regulatory returns and filing; and
• Managing relationship with regulatory bodies by serving as the primary
contact with regulators.
The main attributes that my client is looking for in turn
is:
• University graduate in business, accounting, finance or
law
• Minimum 5-7 years’ relevant experience in the financial services industry
preferably in compliance or internal audit, or with a regulator
• Good knowledge in legal and regulatory requirements, especially those
relating to investment management
• Good analytical and numerical skills
• Good written and oral communication skills
• Ability to remain focused under pressure
• Attention to details
• Ability to perform multiple tasks simultaneously
• Ability to work both as a team player as well as independently
• Comfort interfacing with personnel at all levels
Risk and Compliance Assistant
Risk and Compliance Assistant
Prestigious Trading House
This role is to assist the Compliance Monitoring Officer in
the day to day tasks of Compliance and Risk Management in the Singapore branch of this
international organization.
Key tasks and
responsibilities include:
Carrying out regular risk reports within Singapore branch including;
(1) Carrying out monitoring programme for effectiveness of the mitigation
measures and controls through the internal control monitoring process;
(2) Assisting with annual review of material outsourcing;
(3) Maintaining the Power of Authorisation documents for trading authorisations
in line with the internal policy;
(4) Assisting in implementing and maintaining Singapore procedures in respect
of risk related matters;
(5) Carrying out training for other departments in the firm on Operational risk
management;
(6) Assisting the CMO in carrying out regular BCP work-around tests and
liaising with Office Management for the effective implementation of BCP;
(7) Assisting in carrying out processes to identify the different
risks (mainly operational risks) the branch is exposed to, in line with
internal policies and procedures;
(8) Prepare management information relating to the risks to
which the firm is exposed.
(9) Keeping up to date with developments in risk management,
regulation, best practice, and external business environment;
(10) Providing holiday and absence cover for other Singapore
branch’s operations staff.
(11) Proactively identifying risks that may affect the
companies business, including country and client risks and notifying the CMO.
(12) Carry out client due diligence checks for new clients
and maintain client records in the firm’s Client Database.
(13) Carry out regular Compliance Monitoring tasks, and
report to the CMO on findings.
Requirement
Experience
·
Ideally will have at least 2 years experience of Financial
Services, preferably in a Control Function role.
·
Proven ability to write reports and to communicate effectively
both orally and in writing.
·
Must have good Microsoft word and excel skills (creating
spreadsheets, charts and showing information graphically)
Sales and Trading Compliance Officer role
Sales and Trading Compliance Officer role
This role involves working with one of the fastest growing
investment banking institutions in the world. This role sits in one of the
highest profile areas of the compliance team, providing advice and support to all
of the Sales and Trading areas in the region.
The main duties of this role are to:
- Assist in ensuring the business
is kept abreast of applicable compliance initiatives, rule change
consultation and implementation. - Assist in the review of new
products - Project management for
compliance of various business projects with compliance implications. - Assist in the development and
the roll-out of bespoke compliance training programmes
As such, my client is looking for an
individual that can demonstrate:
- Good communication skills,
ability to interact and work closely with senior business heads. - Strong product knowledge.
- Ability to quickly understand
and interchange with a variety of other product areas. - Compliance experience within an
investment bank
Director for APAC Regulatory Affairs
Director for APAC Regulatory Affairs
Prestigious Investment Bank
Our client is a top tier invest ment house with growing operations globally. Their operations in Asia has increased exponentially compared to their other regional hubs, and as such they are looking to further up- weight in their compliance function. As part of their regulatory affairs team, this position is a largely a project management role, where it will be the interface between the regulator and internal teams across several jurisdictions. You will be tasked with managing the information requested and provided to the regulators in each of these regions, organising internally accordingly. As the global Financial Services industry faces increased pressure to conform to more defined guidelines, you will need to be a strong presence internally and externally. The main aspects of your role will include:
- Provision of support to the local compliance officers across APAC in response to ad- hoc regulatory RFIs and examination/ review requests.
- Liaising with global regulatory affairs colleagues to leverage information already provided to non- APAC regulators when dealing with regional requests for information.
- Liaise with compliance governance team to ensure that all regulatory commitments are appropriately recorded and tracked.
- Provide analysis of regional regulatory developments to the Head of Regulatory Affairs.
In return, our client is looking for a candidate that can demonstrate:
- An assertive, extrovert nature
- Very commercially aware
- Project Management Expertise
- Strong Negotiation skills
- Understanding of the global regulatory environment, key initiatives- specifically a working knowledge of the principles, rules and modus operandi of the key regional regulators.
- Understanding of investment banking risk management and control frameworks, to include Risk Management, Finance, Product Control and Operations.
Documentation Negotiator
Documentation Negotiator
Market Leading Financial Services House
Excellent opportunity to join this rapidly growing top- tier bank. Part of this well-established team, my client has the opportunity to take on someone with previous financial services experience at Senior VP level, or someone with no previous FS experience As a negotiator, you will be responsible for the production, negotiation and execution of capital markets contract documentation with an assigned portfolio of counterparties. The main responsibilities of this role include:
- The production of contract documentation for identified counterparties across a variety of financial products.
- Successful negotiation pf contracts with counterparties.
- Proactively seeking resolutions to blockages in any negotiation by using the assistance of colleagues and other resources.
My client is therefore looking for someone with:
- Excellent oral and written communication skills.
- Proactive and willing to come up with solutions to keep negotiations moving.
- Relevant legal background. Although Financial Services experience is not necessary, you must be qualified with a minimum of 3 years PQE
Senior Investment Compliance Manager
Senior Investment Compliance Manager
Working with one of the largest Financial Service businesses in the world , this role forms a key part of their regional compliance function. As a key memeber of the Regional Compliance Team, this role will manage the key investment compliance function supporting the Asia Pacific Wealth Management Business. You will manage a team of high performers and through them maintain a robust compiance oversight over the investment business which spans both the Private and Consumer Bank.You and the team will be responsible for:
- Providing compliance support in approving investment products for retail distribution.
- Proactively consulting & advising the business on investment business initiatives
- Implementing policies & procedures, reviewing investment marketing materials, proposals and presentations.
- Proactively engaging with senior management to manage regulatory changes and its impact on the business.
The candidate we are looking for will ideally have:
- Good degree from a recognized university with a background in Banking, Finance, Accountancy or Law
- Sound Knowledge of the Singapore and HK regulations and a working knowledge of US regulations.
- Good understanding of the wealth management advisory business
- Possess strong leadership skills and analytical mind with excellent interpersonal and communication skills.
- Demonstrably strong track record in a Compliance or Risk Officer's role. Other roles such as audit, control or surveillance may also be considered.
In return, our client offers a competitive package and excellent opportunities for further progression.
Information Risk Management
Information Risk Management
Our client is a growing regional bank, that have recently been considerably strengthening their back and middle office functions. They are presently looking for a team leader to oversee the Information Risk Management team. You will be leading the team that is responsible for the enforcement of the bank's Information Securities Policies. Your function will progress information security related audit comments and ensure that remedial actions as well as long term solutions are executed to address underlying risksThe team also determines and publishes security policy, security standards and security procedures for the technology environment and information in the organisation. Ideally for this role we are looking for the following:
- A strong track record in a security operations/ risk- management/ incident management capacity.
- Good verbal and written communications skills
- Good team player
- Knowledge of security hardware and software products that comply with current industry standards