Manager, Compliance

1 week ago

Singapore CHINA CITIC BANK INTERNATIONAL LIMITED Singapore Branch Full time

Job Purpose Assist the Head of Compliance in managing the Branch's AML and regulatory compliance program and carrying out compliance monitoring and reviews to ensure the Branch's compliance with applicable laws and regulations (including MAS Notices and Guidelines, Securities & Futures Act and Financial Advisors Act, etc.) as well as supporting AML-related system projects and ensure timely implementation. Job Responsibilities Provide Anti-Money Laundering ("AML") and regulatory compliance advisory; Review KYC/CDD documents for the onboarding of new customers and periodic review of existing customers' accounts; Conduct reviews of transactions flagged as alerts in the SAM ACTIMIZE System within the stipulated timelines; Participate in AML system enhancement projects and ensure timely implementation; Interpret and disseminate new regulatory requirements to the relevant stakeholders in the Branch and monitor the implementation status of such new requirements; Support the gap analysis of new regulatory requirements against Compliance Departments' existing policy and procedures, and assist in closing such gaps by enhancing the existing compliance policy and procedures and monitoring programs; Perform compliance testing, identifying compliance control risks, recommending control enhancements to BU/SU, and reporting material risks to Branch and Head Office Management;·Provide support to business and/or supporting units in the development, implementation and regular review of policies and procedures for their compliance with relevant regulatory requirements; Follow up, track and report the status of remediation of internal and external audit findings, and; Provide compliance training to employees and manage ad-hoc compliance related tasks; Support the review and update of policies and procedures maintained by Compliance Department (e.g., Compliance Manual, Compliance Operations Manual, AML Policy and Procedures, Customer Data Protection Policy, etc.). Assist in any other ad-hoc Compliance related matters assigned by the VP or Head of Compliance. Support frontline and adhere to anti-money laundering / counter terrorist financing requirement and sanction risks controls in accordance with regulatory standards and CNCBI policies. Job Requirements Degree holder in Banking and Finance, Accounting or related discipline Minimum 3 to 5 years general auditing or compliance experience (experience and knowledge in Private Banking/Wealth Management is preferrable) in banks in Singapore and/or regulatory bodies; Professional Compliance qualifications are preferred, such as ICA, ACAMS, etc. #J-18808-Ljbffr

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