Senior Compliance Risk Officer

1 month ago

Singapore SMBC Group Full time
Job Summary

The Senior Compliance Risk Officer will be responsible for overseeing communication with external and internal audit in collaboration with respective departments. This includes providing guidance to staff on managing requests from auditors, planning for mitigation controls, and tracking implementation to closure for reporting to management. Additionally, the role involves defining and reviewing internal compliance policy and procedure to incorporate industry best practices, managing enterprise risks, and developing risk management strategies to support multiple groups of risk owners.

Key Responsibilities
  • Oversee communication with external and internal audit in collaboration with respective departments.
  • Provide guidance to staff on managing requests from auditors.
  • Plan for mitigation controls with relevant departments and track implementation to closure for reporting to management.
  • Define and review internal compliance policy and procedure to incorporate industry best practices.
  • Manage enterprise risks and develop risk management strategies to support multiple groups of risk owners.
  • Provide independent oversight and propose solutions to address problem areas.
  • Spearhead and drive adoption of policy and procedure by departments while managing stakeholders from diverse backgrounds.
  • Lead contract negotiations and provide insights for complex contracts crafting to achieve positive outcomes for all contracting parties.
  • Ensure Third Party Risk Management Policies are being managed and executed.
  • Ensure all required trainings and due diligence checks are conducted and completed within schedule.
  • Evaluate and examine whether the activities performed by Business Units are effective, appropriate, and compliant with key regulations.
  • Lead compliance investigations and ensure that it is conducted as per the approved processes.
  • Plan Annual System Risk Assessments with respective System Managers and follow up on any identified risks for mitigation and closure.
  • Keep abreast of regulatory changes/updates and perform gap analysis for alignment of entity policy and procedure as needed.
  • Review and assess breaches flagged to compliance.
  • Manage and oversee the day-to-day operations of the compliance team and provide guidance where necessary.
Requirements
  • Bachelor's degree in law, Business Administration, Finance, Accounting, Information Systems, or related field.
  • Min. 5-8 years of relevant work experience in compliance, internal control, risk management, or internal audit in a bank, financial institution, or audit firm.
  • Preferably with professional certifications such as CISA, CISM, CISSP, CIPP, CBCI, CRM, ICA, CA.
  • Possess in-depth knowledge of Singapore laws, regulations (e.g., MAS Notices and Guidelines including but not limited to TRM, Guidelines on Outsourcing Risk Management/Third Party Risk Management).
  • Familiar with legal, financial, operational aspects of contracts.
  • Preferably with working experience in financial services, IT industry related to system development and integration.
  • Experience in IT audit is an advantage.
  • Excellent technical writing and documentation skills.
  • Advanced skills in using Microsoft Office products.
  • Good appreciation for risk-related subjects.
  • Strong communication, interpersonal, and presentation skills.
  • Possess excellent analytical and negotiation skills, attention to detail, and the ability to interpret complex regulations.
  • Experience in operating and maintaining Crisis Notification System.
  • Effective communication and management of stakeholders.
  • High-motivated and self-started team player who can work proactively with minimum supervision.
  • High level of integrity and takes accountability over work.
  • Excellent time management skills, ability to prioritize workload, and to work on strict reporting deadlines.

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