Head, Compliance

2 weeks ago

Singapore HL Bank Full time

**FUNCTIONAL (Job Responsibilities)**
- Manage the Compliance (Financial Crime and Regulatory Compliance) and Legal function for Singapore Branch.
- Develop new monitoring and controls mechanism, focusing on best practices for employees.
- Ongoing assessment of new initiatives that relate to overall AML monitoring & reporting process.
- Ensure compliance of all regulatory requirements (MAS & BNM).
- Act as the key point of contact for Group Compliance and Policy frameworks across the business.

**Financial Crime Compliance (FCC)**
- Establish the Financial Crime Compliance Policy framework in accordance with regulatory requirements and guidelines set by Head Office.
- Ensure that the Anti-Money Laundering (AML) Policy, Standard Operating Procedures (SOP) and controls are robust and implemented with timely updates.
- Review unusual transactions and/or activities with an analytical mind and be firm (with strong reasoning) and assertive when being challenged by the Business.
- Ensure all documentation such as KYCs for new accounts are submitted and reviewed on time by the FCC Manager.

**Regulatory Compliance (RC)**
- Ensure that the Anti-Money Laundering (AML) Policy, Standard Operating Procedures (SOP) and controls are robust and implemented with timely updates.
- Ensure compliance to the MAS RNS (Representative Notification System) for Covered Representatives of the Bank.
- Ensure that Covered Representatives adhere to the requirements in the SFA (Securities & Futures Act) & FAA (Financial Advisers Act). Monitor regulatory developments and review rules, where applicable, and ensure timely update of the Bank’s policies and procedures.

**Legal**
- Provide legal advisory support, guidance and information for all business units as well as the strategic support group on legal matters, including keeping abreast of legislative changes, regulatory guidelines and consultation papers from regulators and PDPA.
- Perform periodic review and/or update of the Bank’s standard documents and agreements to ensure conformance with updated product specifications, rules & regulations and current market practices.

**Managerial **_(team/group responsibilities)_**
- Manage and coach the team members to upskill their knowledge of the various compliance functions that supports the Bank business and operations.
- Responsible for the development and coordination of delivery of Group-wide financial crime training and development programmes.

**Organizational **_(organizational responsibilities)_**
- To carry out any other duties as directed by Company Management.

**Job Requirement**
- University degree and / or professional qualification
- At least 10 years of relevant experience in a financial institution.
- Have a sound understanding of compliance management, financial crime regulations and knowledge of AML/CTF and Sanctions environment.
- Ability to master a large volume of details and facts, set priorities and be persuasive in senior level discussions.
- A proven track record of consistent performance and achievement
- Excellent verbal and written communication skills with attention to detail.
- Strong analytical skills
- Special Skills: Financial crime compliance
- Certification/Licensing Requirement: International Compliance Certification (e.g. Diploma in Governance Risk & Compliance; Certificate in Financial Crime Prevention) is an advantage.

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