Assistant Vice President, Compliance, DBS Vickers Securities

DBS. Living, Breathing Asia.

DBS is a leading financial services group in Asia, with over 200 branches across 15 markets. Headquartered and listed in Singapore, DBS is a market leader in Singapore with over four million customers and also has a growing presence in the three key Asian axes of growth, namely, Greater China, Southeast Asia and South Asia. The bank's strong capital position, as well as "AA-" and "Aa1" credit ratings that are among the highest in the Asia-Pacific region, earned it Global Finance's "Safest Bank in Asia" accolade for two consecutive years, in 2009 and 2010. 

DBS Vickers is a leading retail brokerage in Asia that provides high quality advisory services and products to our clients. Backed by the financial strength of the DBS Group, its dominant retail client base and expanding regional presence, we offer a full range of investment products and services, including IPO placements, unit trusts & bonds. Responsibilities  Provide advice and guidance on DBS Vickers Group Policies and update the policies to be consistent with the relevant DBS Group policies Provide advice and guidance on research activities carried out by DBS Vickers Research so that the activities are consistent with DBS Vickers Group Research Policy, SFA / SFR and FAA / FAR Review and provide clearance for securities placement and disclaimer clauses in marketing materials Conduct due diligence checks on new products and services Carry out surveillance review for securities transactions e.g. contract amendments, price stabilization review, registers of securities (Form 15) of dealers and remisiers, married trades and checking of possible front running and roll-over  Provide day to day compliance advice to Business Units & Support Units Requirements  Degree with at least 6 years working experience preferably in a financial institution Preference will be given to those with banking / stockbroking / audit / surveillance work experience Sound knowledge of SFA, FAA and SGX requirements Strong interpersonal and communication skills Good team player who is articulate, self-motivated and able to work under demanding reporting timelines

We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognizes your achievements.