Head Compliance APAC

Do you want to take part to the international growth of an Investment House?
Do you want to leverage on your expertise to have an impact on our organisation?
The Legal and Compliance Advisory Team of Vontobel is composed of seasoned experts with international background. We have dedicated specialists for each business divisions, and we are currently looking for a senior compliance officer overseeing our compliance activities in the APAC region.
The Head Compliance APAC will be part of Vontobel Pte. Ltd. in Singapore and responsible for the compliance activities of the entities in Singapore, Hong Kong, Sydney and the Tokyo Branch.

What would your role be?

• Manage a Team of two experienced compliance officers and collaborate closely with Vontobel entities including those based in the group’s headquarter in Zurich in order to ensure consistency, efficiency and accomplishment of the group’s overall Compliance framework;
• Liaise with various regulatory bodies in APAC: maintenance of relevant licenses and registration requirements for the firm and its employees, in APAC;
• Review and adopt upcoming regulations and perform gap analysis against current policies, processes and frameworks in place;
• Ensure compliance of the Key Business Lines (Sales & Marketing, Private Placement Business, Investment Research and Advice, and Trading Desk) with regulatory standards;
• Help maintain compliance obligations of the local hub of a global execution desk and implement compliance controls with regard to the trading activities;
• Monitor and conduct independent review of staff activities (Compliance monitoring program) according to regulations and internal policies, and recommend solutions to management in case of any breaches;
• Ensure adherence to law, rules and standards with emphasis on the following (but not limited to): Client categorization, AML/CFT/client suitability of institutional investors and accredited investors, Conflicts of interest, Personal Account Dealing, Order handling, execution, allocation and recording, Investor complaints, Data protection and professional confidentiality;
• Review marketing materials and work with the business to provide regulatory guidance on marketing and cross border sales activities in Asia;
• Update and develop compliance manuals and other documentation to ensure that they reflect applicable regulatory guidelines, best practices and internal standards;
• Liaise with internal and external audit as well as external law firms and actively contribute to address requests from regulators;
• Ensure training and education of staff

What are we looking for?

• Master of law, finance/economics, or a related field
• At least 7 years of experience as Compliance Officer in the Financial Services Industry in an institutional context in the APAC region, with a focus in Singapore and Hong Kong
• Extensive working experience with MAS and SFC will be a plus
• Up-to-date knowledge of recent regulatory developments in APAC
• Leadership skills
• Proven experience in helping a business function to further develop and finding the most relevant solutions to support sustainable long term growth
• Proven experience in explaining and implementing compliance framework
• Excellent English skills, other languages such as Chinese (Mandarin and/or Cantonese) is a plus
• Strong team player
• Capable to prioritize effectively and meet both fixed and shifting deadlines
• Recognized as a reliable and trusted business partner
• Keen to take ownership on business critical situations and to help the business to meet our strategic goals
• Detail oriented

Why Vontobel?

At Vontobel, you are building better futures for our clients and society, as well as for yourself. As a family-owned and publicly listed company with over 2,000 professionals based in 28 locations globally and headquartered in Zurich, we’re committed to long-term thinking and sustainability.

Our diverse team values unique perspectives, and we hire individuals determined to deliver in a dynamic and changing world. Even if you don’t meet all the criteria, we encourage you to apply if you’re enthusiastic about the role.

Do you want to be Vontobel?

Thank you for applying to Vontobel. We will carefully review your application and will respond to you in a timely manner.

At Vontobel, we are an equal opportunity workplace. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability or gender identity.

We value the many voices within our teams and are committed to creating an environment where everyone who wants to be part of our performance culture can be themselves. It is based on mutual respect and zero tolerance for any form of discrimination.

If you have any questions you can contact us through our contact form.