Avp, Compliance Officer/compliance Manager, Asia

1 week ago

Singapore SLOANE SHOREY CONSULTING PTE. LTD. Full time

**AVP, Compliance Officer, Asia Pacific, Singapore**

*9 month contract*

Global financial institution is seeking a confident compliance professional to join the APAC Compliance team in Singapore. The individual will assist the Head of Compliance to manage regulatory and compliance matters within APAC, including regulatory compliance, personal conflicts monitoring and compliance testing and monitoring.

**Responsibilities**:
The Compliance Officer will, together with other compliance officers within Asia Pacific, oversee and monitor compliance with regulatory requirements in relation to operations in the region.

**Duties**:

- Manage ongoing regulatory filings, ad hoc regulatory requests and regulatory exams. This includes liaising with regulators and internal stakeholders, coordinating responses internally and ensuring responses are appropriate and timely.
- Maintain strong and productive relationships with regulatory bodies and internal stakeholders
- Handle internal queries on regulatory requirements and compliance policies and procedures
- Monitor regulatory development, conduct impact analysis and propose/take the required course of actions
- Advise on employee licensing matters in Hong Kong and Singapore, monitor compliance with ongoing, training and filing requirements
- Conduct internal compliance training
- Provide quality and timely input to compliance and management reporting
- Participate in and provide compliance input at internal governance meetings
- Participate in compliance projects under the global compliance workplan and support delivery of the workplan in Asia Pacific

**Experience**:

- 6-8+ years of regulatory compliance or legal experience in a financial institution or regulator
- Good knowledge of financial markets and understanding of local regulatory requirements in key Asia Pacific markets
- Experience in directly interacting with regulators, including regulatory exams
- Understanding of risk governance, supervision and control framework, concepts of control design and control operating effectiveness

Sloane | Shorey

Sloane Shorey Consulting is a Singapore based boutique executive search firm founded in 2016. We specialise in the recruitment of corporate governance, risk management and security professionals at all levels of seniority, from analyst to managing director. Our clients include banking and finance organisations, consulting firms, leading Singaporean companies, and global aerospace, defense, and technology corporations.

Sloane Shorey is a Ministry of Manpower Licensed Employment Agency: EA License 20S0307

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