Compliance Associate

2 weeks ago

Singapore Unity Partners Limited Full time

The regional Compliance Independent Testing Team
- Ensures the definition and deployment of a robust and efficient Compliance control framework across the region
- Performs 2nd level independent control testing to assess the adequacy of the 1st line control framework in place at Compliance and Business Lines levels in Asia Pacific

The Compliance Independent Testing Officer is in charge of defining and performing an independent testing plan on APAC functions and Business Lines in order to assess the effectiveness of the regional control framework across one or multiple Compliance Domains.

The department adopts a flexible approach: each team member can either focus on a preferred domain or possibly work on multiple domains, following appropriate training.

Direct Responsibilities
- Compliance independent testing
- Define and perform a Compliance independent testing plan in order to assess the quality of the control framework with regards to Compliance risks
- Communicate review results to concerned stakeholders, work with concerned stakeholders to identify a plan of corrective actions
- Escalate potential issues and exceptions
- Track status of corrective action plans
- Maintain detailed and organised documentation of work products
- Coordinate with other professionals in the organisation, including other Compliance teams and Internal Audit, as necessary
- Remain current on Group policies, regulations, and best practices to help ensure that the testing program meets Group and regulatory standards

Communication and reporting
- Ensure high-quality testing results, action plans, and reports are published
- Communicate on control and risk management matters with relevant stakeholders
- Provide status report to Management on a regular basis
- Compliance domains, business lines, and territories covered

Classification: Internal
- The team is in charge of covering all Compliance domains.
- The business lines covered are CIB (including Global Markets, Global Banking, BP2S) and Wealth Management
- The scope includes all territories where the company is located in Asia Pacific.

Contributing Responsibilities
- Contribute to tracking and reporting of Compliance related issues
- Contribute to the response to regulatory and internal audit assignments as required
- Contribute to independent reviews or risk assessment initiatives as required

Technical and Behavioral Competencies required
- Understanding of Compliance, regulatory, risk, or control matters
- Ability to prioritize and work independently
- Ability to evaluate complex situations and issue appropriate recommendations
- Team player with interpersonal and teamwork skills
- Self-confidence, ability to stand their ground when required
- Be flexible and adaptable to work on different topics
- Experience and Qualifications required
- Compliance/Audit/Control/Risk Management experience
- Fluent in English.

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