Compliance Manager

2 months ago

Singapore STATE BANK OF INDIA Full time
Roles & Responsibilities

Job Description

Regulatory Compliance (Primary)

  • Provide compliance advisory in areas of Banking Act 1970, Securities and Futures Act 2001 (“SFA”) and Financial Advisers Act 2001 (“FAA”) to all Business Units and departments.
  • Review Marketing and Promotional Materials in relation to deposit, remittance and investment products.
  • Update Management on all MAS notifications that will impact the Bank and perform gap analysis (when required).
  • Attend to Compliance matters in relation to New Product initiatives including compliance advisory and review of forms associated with these Products.
  • Develop/ periodic review policies/manuals/procedure notes under Compliance Department’s purview.
  • Conduct Regulatory Review as scheduled in the Compliance Review and Training Plans, including but not limited to Balanced Scorecard review.
  • Attend to all Representative Notification Framework related matters, including Notification for Appointment of a Representative and Cessation of a Representative under the SFA/FAA.
  • Coordinate, liaise, handle enquiries and ad-hoc/periodic submissions to Head Office and MAS promptly.

Foreign Account Tax Compliance Act (FATCA)/ Common Reporting Standard (CRS)

  • Liaise with third party vendor on FATCA/CRS application, organize and coordinate data generation/information received from Operations/IT Department for annual submission to IRAS.
  • Participate in the FATCA/CRS Remediation Project.
  • Assist with FATCA / CRS compliance requirements.

Anti-Money Laundering Compliance (Secondary)

  • Provide advisory/clearance of daily payment gateway screening hits and periodic name screening hits in relation to sanctions and adverse news (when required).
  • Review suspicious and irregular transactions in customers’ accounts and conduct basic inquiry into such transactions with a view to filing a Suspicious Transaction Report to the Suspicious Transaction Reporting Office (“STRO”) when appropriate.
  • Address ML/TF queries from Business Units (Credit & Syndication, Retail Banking and Trade Finance) and departments in relation to new customers’ onboarding and ongoing transactions.
  • Perform high/low risk corporate customer periodic review.
  • Conduct Enterprise-Wide Risk Assessment with Business Units within the Bank.

Others

  • Provide trainings in the areas of Regulatory and AML/CFT Compliance.
  • Provide cover for team members within Compliance Department in assigned areas during their leave of absence.
  • Undertake other ad-hoc duties as assigned.

Requirements

  • Degree, preferably in Accounting, Banking & Finance, Business or Law.
  • Candidates with certifications from the Association of Certified Anti-Money Laundering Specialist (ACAMS) or Diploma in Compliance would be viewed favourably.
  • Good working knowledge in banking laws, FATCA/CRS, AML/CFT requirements. A plus for candidates with good understanding of the relevant regulatory requirements pertaining to operations, products and services within Credit, Trade Finance and Retail Banking.
  • Minimum 3 to 5 years’ relevant experience in Compliance function of a sizable financial institution/regulatory body.
  • Excellent communication and interpersonal skills with ability to interact with all levels of staff and management.
  • Have the drive, energy and perseverance to succeed in a competitive market environment.

Tell employers what skills you have

Remediation
IRAs
Risk Assessment
Regulatory Compliance
Interpersonal Skills
Risk Management
Securities
Retail Banking
Accounting
Compliance
Tax Compliance
Banking
Regulatory Requirements
Screening

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