Director, Head of Central Services Compliance

21 hours ago

Singapore RBC Full time

Job Description

What is the opportunity?

As the Director, Head of Central Services Compliance, you will be responsible for establishing and embedding a Central Services Compliance team in APAC across all entities for Capital Markets (CM) and Wealth Management (WM).

What will you do?

  • Planning, executing and reporting of compliance testing reviews and surveillance follow-up across CM and WM businesses. Communicate effectively to the business stakeholders any potential issues and review findings.
  • Executing the Regulatory Compliance Management (RCM) programme, including implementing new or revised monitoring, surveillance and testing reviews and keeping RCM updated in accordance with regulatory requirements.
  • Handling HK/SG licensing and registrations requirements oversee the Regulatory change process and horizon scanning in HK/SG and coordinate for the rest of APAC where appropriate.
  • Maintaining internal compliance processes in relation to Gift and Entertainment, Personal

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