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Manager, Compliance, Singapore
3 weeks ago
Requisition ID: 218202
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
**Purpose**:
Contributes to the overall success of the Compliance function in Singapore, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.
The incumbent will support the Head of Compliance, Singapore and Head of APAC Product Compliance (HoC), and other members of the Compliance department in delivering the compliance program for the Global Banking and Markets & Treasury (GBM&T) businesses.
The incumbent will provide day-to-day compliance advisory to the GBM&T businesses and to participate in the corresponding compliance projects and initiatives involving the GBM&T businesses as part of the local or wider Compliance practice for the region.
**Accountabilities**:
- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
- Provide timely compliance advisory support to stakeholders in relation to their applicable regulatory requirements, internal policies/procedures and matters or control decisions that may present potential regulatory risk. This will include coordinating, liaising and advising on relevant licensing requirements, new product approvals, new business initiatives, cross-border marketing considerations and other compliance matters.
- Work closely with business partners, control and support functions and internal compliance stakeholders regionally and globally, as appropriate, to risk-manage key projects and initiatives from a compliance perspective
- Maintain up-to-date compliance knowledge and understanding of regulatory requirements applicable to a wholesale bank.
- Coordinate and/or conduct Compliance training to update and refresh stakeholders of the applicable requirements and expectations.
- Assist the HoC as well as business senior management with ad-hoc tasks and projects.
- Discharging the broader Compliance responsibilities as an integral member of the Singapore Compliance team and undertake tasks as may be assigned from time to time.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursues effective and efficient operations of their respective areas in accordance with Scotiabank’s Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
- Champions a high-performance environment and contributes to an inclusive work environment.
**Dimensions**:
- Good working knowledge of the regulatory obligations, business practices, policies and procedures relating to the activities of a wholesale bank.
- Strong verbal/written communication and interpersonal skills to deliver quality and robust compliance support to management and internal stakeholders.
- Ability and confidence to liaise with regulators and auditors to address all regulatory-related queries in order to uphold the Bank’s image and reputation.
- Self-motivated, confident and capable of working both independently and in a team environment.
- Strong analytical skills and a keen eye for detail to be able to identify and handle sensitive and confidential situations tactfully and professionally.
- Good organisational skills and ability to multi-task and prioritize to deliver on multiple projects and assignments at a high quality and within stringent timelines.
**Education / Experience / Other Information**:
- A good degree in a finance or related discipline from a recognised university.
- At least 5 years of relevant compliance experience covering the global capital markets products and corporate and investment banking activities and their related compliance processes.
- Individuals with prior direct experience working in compliance advisory and/or related business control function or Individuals with experience working with a financial sector regulator will be considered favourably.
- Individuals with relevant financial sector certification (e.g. compliance diploma, CFA) will also be considered favourably.
Location(s): Singapore : Singapore : Singapore
Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.
