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Compliance Manager, Regulatory Advisory

2 weeks ago

Singapore Bank of Singapore Full time

**Compliance Manager, Regulatory Advisory (AVP)** **-** **(**240001H3**)**

**Description**

**Primary Responsibility***

**MAIN DUTIES**
- Take a consultative approach in providing timely and quality advice to business, risk and infrastructure units on compliance, regulatory and policy matters.
- Formulate and timely update Compliance head office policies and procedures to ensure that they are in-line with regulatory requirements and mitigate compliance risks; and assist in the roll-out and/or training of these policies and procedures group-wide.
- Work with external counsels to draft/review cross border marketing guidelines to guide Front Office on engagement with clients based in various countries, and support Business in their implementation of processes/controls to comply with the cross border marketing guidelines.
- Work closely with business, risk and infrastructure units to assess incidents whether they are regulatory breaches and/or involve staff misconduct, and handle reporting of regulatory breaches and/or misconduct to MAS.
- Assist to undertake management action plan to close Compliance-related audit points by regulator, internal audit and external audit.
- Coordinate with internal stakeholders to address and respond to regulatory inquiries on a timely basis.
- Timely escalation of adverse or significant compliance/regulatory issues to Compliance management.

**Qualifications**

**REQUIREMENTS**
- Minimum 8 years of relevant experience, preferably in private banking compliance; or with MAS or audit firms
- Good understanding of the regulatory framework for private banking/wealth management business, including but not limited to Banking Act, Securities and Futures Act, Financial Advisers Act and Private Banking Code of Conduct.
- Excellent interpersonal skills and the ability to work collaboratively in a team-oriented environment.
- Exceptional written and oral communication skills, with ability to communicate complex ideas effectively.
- Strong analytical and problem-solving skills; able to quickly identify the issues, exercise sound judgement and manage execution under pressure.
- Attentive to details and capable of multi-tasking in a fast-paced environment; able to meet tight timelines and work independently.
- Degree holder from a reputable university, preferably with outstanding academic record.
- Relevant professional/industry qualification such as ICA Diploma in Compliance would be an advantage.

**Primary Location**: Singapore

**Job**: Regulatory Compliance

**Organization**: BOS - Compliance

**Schedule**: Permanent

: Full-time

**Job Posting**: 23-Sep-2024, 9:52:57 PM