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LMA Recruitment Legal & Compliance has been considered frontrunner in the legal and compliance recruitment industry. The LMA Recruitment legal and compliance desk covers APAC out of Singapore and works closely with our London Head Office. Whether you are looking for a temporary, interim or permanent position, our global network and local experts will provide you with an advantage during your job search.
Our specialist consultants keep abreast of market and regulatory change, enabling us to provide both an advisory and search service. We excel at assisting our candidates in an extremely competitive arena. We work with companies to provide talent at all levels, so whether you are looking for a junior or senior role, we will find the perfect opportunity for you.
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The Role Responsibilities Strategy Implement Bank Standard best practices and shared solutions across domain. Should be ready to work in the Support Environment. Should be a good team player. Should be open to work in shifts. Rotational Night Shifts. [ Monthly - one week ] Deliver production solutions that meet the banks business and strategic needs. Should have 8-12 years of experiences Good knowledge in Support process - ITIL Should be Technically strong in Unix, PL/SQL & Java Ensure all the RISK & COMPLIANCE processes are followed and implemented Resiliency Lead/part of SRE team to enhance application and infrastructure resiliency of service through self-healing and automated failovers - target a 99.9% up-time to customers. Oversee the planned/unplanned disruption of production infrastructure to ensure accountability for building resilient, always-on systems. Build resilience into the application so underlying system failures are handled gracefully and do not impact end users. Influence design/development teams to always be thinking of the rainy-day scenarios. Efficiency Identify opportunities to eliminate all manual and repeatable activities (toil) via tooling and automation Reduce the number of repeat incidents by permanently fixing the underlying root cause of issues Business Availability/Reliability Take responsibility for meeting SLA/XLA expectations around the operability and reliability of our critical user service journeys, where our customers expect a 24x7 digital service offering. Examples of "always on" techniques to be used include caching, circuit breakers, dark and canary releases, store and service patterns and alternate user experience flows. Lead, own, manage, monitor and optimize the reliability and health of all environments Design, code, implement break fixes to improve service availability based on outcomes from thematic reviews Latency & Performance Drive conversation around development velocity using SLIs/SLOs data to ensure development velocity vs. service reliability is optimized in partnership with Product Teams Iteratively review SLI/SLO/Error Budget policy to ensure the quantitative indicators of customer experience are accurate Where an increased focus on reliability is required influence senior stakeholders to ensure resourcing / effort is made available Processes Monitoring Optimize monitoring to reduce false positive alerts Creatively deepen monitoring capabilities leveraging the 3 tenets of observability - logs, metrics and traces Ensure all critical user service journeys are traceable end to end Ensure Production Solutions are fit for purpose. Where gaps are identified put a plan in place to uplift the toolset Risk Management Ensure a full understanding of the risk and control environment within Technology Services. Ensure support procedures are in place and adhere to Group Security & Audit policies within Technology Services. Active engagement with all audit issues arising in this support environment. Governance Responsible for assessing the effectiveness of the governance, oversight, and controls and, if necessary, oversee changes in these areas Awareness and understanding of the regulatory framework, in which the Group operates, and the regulatory requirements and expectations relevant to the role. Regulatory & Business Conduct Display exemplary conduct and live by the Group's Values and Code of Conduct. Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters. Our Ideal Candidate Relevant degree in Computer Science/Technology and evidence of continuous professional development in an IT role Certified Scrum Master Interested applicants, please send your CVs in Microsoft Word Format to Nishana Rahim. Email: email@example.com Company Reg No.: 201131609D, Licence No.: 11C4684
Position Purpose The Permanent Control framework aims to keep operations safe and continuously improve business processes and practices. The Chief Conduct & Control Office (CCCO) positioned within the business acts as the First Line of Defence (1LOD) in the Permanent Control framework and plays a key role in strengthening the platforms as activities expand or evolve. Within the CCCO, the Front Office Conduct Surveillance (FOCS) is a detection an investigation team responsible for the monitoring of front office activity through the surveillance of trades, electronic & voice Communications. FOCS mission is to keep Front Officers aware of Code of Conduct, detect deviations from acceptable business practices and escalate breaches for management action. Responsibilities Daily monitoring of Front Office activity to ensure that all relevant rules, regulations, group policies and procedures are adequately followed. The scope of FOCS monitoring encompasses E-communications, Voice calls and Trades; Investigation of alerts, clearing of false positives and timely processing of true positives for further analysis; Escalation of potential breaches according to severity to the relevant management level and/or to Compliance (acting as 2nd Line of Defence (2LOD)); Close coordination with Compliance for the performance of Calibration (BLT) and Quality Assurance (QA) reviews and Permanent Challenge (PC). Precise and accurate documentation of the investigation results and record in the case management tool for audit purposes; close coordination with internal or external audit teams in the context of reviews of the activity; Provide expertise to Business Owners and 2LOD when required; provide support to Business Owners to ensure that managers have visibility on all relevant signals in relation to the Conduct and Control behaviour of their team members; Periodic review of controls (logic & calibration) with the aim to continuously improve and adapt the set-up to activities and market environment; Design, test and deploy new controls to address emerging risks; Work in close collaboration with IT to design, test and deploy new surveillance tools and benefit from the addition of new technologies to improve the efficiency of the control framework; Production of performance metrics and KPIs to (i) continuously monitor the efficiency of the surveillance framework and (ii) produce activity reports to Senior Management; Documentation: assist with the drafting or periodic review of the policies and procedures; Front Office Trainings: raise Front office awareness on Conduct risks, permanent Control and policies through dedicated business oriented training sessions; Technical & Behavioural Competencies Good understanding of financial markets products; Prior experience in CIB activities and Financial markets (Rates, FX and/or Credit): 5-7 years of experience in the Front Office (Sales/Trading/ Investment Banking), Middle Office, or related Control, Audit, Compliance background relating to Global Markets trading activities or Investment Banking activities Good understanding of Conduct risk and market misconduct concepts; prior experience in the utilization or design of surveillance tools, trading systems would be a plus Basic skills in coding (Python) and/or data analytics would be a plus Assertive, agile, willing to learn and adapt to different situations Self-confident; able to challenge the status quo Good organization skills and communication skills which is required to clearly articulate any surveillance/monitoring tools enhancement requirements when needed Interested Applicants, Please send your CVs in Microsoft Word Format to Ashley Ooi. Email: Ashley.Ooi@lmarecruitment.ASIA Company Reg No.: 201131609D, Licence No.: 11C4684, Reg No: R1871506
AVP, Regulatory Compliance
Job purpose As an AML Compliance Officer, you will be handling the day-to-day functions for KYC/ AML. Responsibilities Handle all aspects of KYC/ AML Compliance including but not limited to customer onboarding, transaction monitoring, name screenings, periodic/ ad-hoc reviews, AML investigation, filing of STRs, approval of transactions, Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS) reviews. Assist with the implementation of new KYC/ AML related regulatory requirements. Review KYC/ AML related policies and procedures to ensure compliance with MAS regulations and be aligned with industry standards. Provide KYC/ AML related advisory to various business units (i.e. Corporate Banking, Treasury and Private Banking) and other stakeholders. Liaise with internal/ external auditors and regulators on KYC/ AML matters. Assist with threshold tuning and AML optimization. Handle ad-hoc KYC/ AML related projects as assigned by the Head of Compliance or the management. Requirements Degree with minimum 5 years' relevant experience in KYC/ AML Compliance. Experience in threshold tuning and AML optimization is preferred. Strong knowledge on the KYC/ AML requirements for Corporate Banking and Private Banking. Good analytical and communication skills. Well versed in MAS regulations, notices and guidelines. Proficient in written and spoken Chinese to liaise with Chinese speaking head office counterparties. ICA/ ACAMS certification will be an added advantage. Key Performance Indicators Ensure all AML compliance tasks have been duly completed. Ensure KYC and AML related internal policies and procedures are updated in compliance with the latest MAS regulations. Sound and coherent recommendation shall be provided to the management to address any AML risk. Address all AML risk on a timely basis. No material Compliance related audit (internal, external or regulatory) or control lapses. Company Reg No.: 201131609D, Licence No.: 11C4684, Reg No: R1871506
Assistant Vice President, Risk Management
Key Duties and Responsibilities Perform credit assessments on the client during on-boarding to understand the client's profile and establish appropriate trading limits for various groups of clients Review and process ad-hoc trading limit applications for increases in the client's trading limits Monitor and control each clients' margin levels and threshold Perform back testing and stress testing at both product and portfolio level Monitor the status of outstanding margin calls and execute the relevant steps in accordance to the procedure of the company Analyze, extract and compute data for RBC and regulatory reporting Prepare daily risk reports for reporting to Management Be involved in ad-hoc functions/duties, development projects and systems UAT as assigned by Management Participate in setting up risk related guidelines and policies, as well as, designing good monitoring systems to ensure operational efficiency and accuracy Required to cover duties over some public holidays / shifts Experience And Skills 4 years relevant working experience in brokerage or exchange business is preferred. Familiarity with market and credit risk control in the brokerage business is preferred Having knowledge in enterprise risk management As this is a control function job, the applicant should possess strong integrity and work ethics Monitor, identify, assess and report risks of the company Must be comfortable with data crunching and presenting the data to Management Contributed to policy documentation and assist in governance reporting and processes Good command of English and Chinese Company Reg No.: 201131609D, Licence No.: 11C4684, Reg No: R1660533