Change-in-circumstances Review Compliance Officer

At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together. The Change-in-Circumstances Review OFFICER is part of the COO Division of Julius Baer Singapore (BJBS) in the Client...

**Work Location: Changi Business Park** **Responsibilities**: - Support the Senior Management of Bank in ensuring compliance with external and internal Regulations - Perform KYC plausibility checks and assess any AML/KYC risk, review and approve any change in circumstances (CiC) for Standard and Medium Risk client relationships booked in Bank - Review and...

**Responsibilities**: - Manage daily AML tasks such as onboarding assessment, account reviews, client update / change in circumstances, review and approval of payments escalated to Compliance, transaction monitoring, investigation of suspicious transactions and filing of suspicious transaction reports where required. - Conduct periodic awareness briefing...

Top-tier Swiss private bank is looking for a Document Review Officer (Account Modification). The role is a key member of the Team within Private Banking. He/she is to work proactively with the business and other internal functions in the review of the documentation in relation to account maintenance. He/she is responsible for the accurate and timely...

**Job purpose**: **Key activities**: 2. Review and investigations of voice communications from sales and trading staff. 3. Review and investigations trade surveillance alerts. 4. Reviewing/improving the surveillance scenarios 5. Implementing employee Personal Account Dealing (PAD) controls and monitoring PAD activities. 6. Draft/update policies and...

**JOB RESPONSIBILITIES**: - Develop, administer and review the Compliance Program, including policies, procedures and processes, necessary for the sound operation of the Compliance Program. - Perform periodic regulatory compliance review on existing business processes. - Ensure regulatory compliance issues are being appropriately evaluated, investigated and...

We are looking for a Compliance Officer to assist the Compliance & Risk Team in daily compliance works. - Assist in KYC and AML matters under SG and HK regulatory requirements - Assist in the preparation and submission of compliance/regulatory reports/surveys for management, regulators, auditors, etc. - Assist in regular compliance reviews, including but not...

**Position Summary**: Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the...

**Private bank located in CentralResponsibilities**: - Perform AML/CFT review and risk monitoring on clients account and transaction flows. - Follow-up with account and transaction analysis and clarification with front office - Accurate and timely review, analyse and dispose transaction alerts - Obtain and upload results of the transaction alert analysis...

**Position Description** As a member of the Singapore Compliance team reporting to the Head of Compliance, Singapore, and with further support from head office, the incumbent will have the exciting opportunity to be given broad Compliance mandate which extends to a number of licensed entities in Singapore and multiple business lines, including,...