Manager - Compliance (Regulatory Compliance)

3 days ago

Singapore HL BANK Full time $90,000 - $120,000 per year
Job Responsibilities

Regulatory Compliance & internal Reporting

1. Perform tracking and recording of new regulations / regulatory updates / consultation papers daily.

2. Identify new and revised local and BNM regulatory requirements and assess their applicability to HLBS and Head Office ("HO").

3. Communicate relevant new and updated regulatory requirements to impacted departments on a timely basis.

4. Communicate relevant consultation papers to impacted departments, and consolidate feedback for submission to MAS.

5. Disseminate weekly regulatory updates to the branch.

6. Develop monthly Regulatory Reports for Head Office and Head of Departments ("HOD") on a timely and accurate basis. This includes the HOD deck, Risk and Compliance Governance Committee ("RCGC") deck, IBRMC deck, Head Office Regulatory Report, and Head Office RCGC deck.

7. Track and follow up on the timely implementation of new and revised relevant regulatory requirements

8. Record status of implementation of applicable new regulations / regulatory updates.

Compliance Testing

1. Perform independent compliance testing and verification to ensure adequate implementation of requirements and processes.

Compliance Advisory

1. Assist the business and support units in identifying gaps in the bank's processes against regulatory requirements, and develop solutions to close the gaps.

Risk and Compliance Self-Assessment ("RCSA")

1. Perform the RCSA Annual Review for the Compliance department

2. Perform the RCSA Control Testing for the Compliance department.

Compliance Coordinator for the HL Bank RCGC

1. Organize local HL Bank RCGC meetings.

2. Develop RCGC meeting material.

3. Coordinate KRI reporting for all departments.

4. Track the tabling of RCSA Annual Review and RCSA Control Testing for all departments.

5. Coordinate and prepare updates on all regulatory issues.

6. Coordinate and prepare updates on all projects and key initiatives.

7. Coordinate and review presentation material from all departments.

8. Record meeting minutes.

9. Record, track and follow up on matters arising from the RCGC meeting for status updates and closure.

Compliance Support on Bank Initiatives

1. Provide Compliance support on projects and initiatives, providing guidance from a regulatory perspective.

2. Review SOPs and marketing materials to ensure that they comply with the relevant regulatory requirements.

3. Review and ensure that submitted CRS forms are duly completed.

Job Requirements
  • University degree..
  • International Compliance Association Qualification or equivalent is preferred.
  • At least 7 years in Regulatory Compliance related experience.

  • Compliance Manager

    3 days ago

    Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full time

    **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...

  • Compliance Analyst

    7 days ago

    Singapore WAYSTONE COMPLIANCE SOLUTIONS (SINGAPORE) PTE. LTD. Full time

    Assist in the implementation of check and balance processes and corporate governance standards as per the client type, strategy, mission, and goals of the regulated entity; - Assist in providing day-to-day support in the development, implementation, and maintenance of client’s compliance programs; - Assist in development and implementation of compliance...

  • Compliance Manager

    1 day ago

    Singapore Office of Risk Management and Compliance Full time

    **Posting Start Date**:21/01/2025 About ORMCAt NUS Office of Risk Management and Compliance (ORMC), we not only manage risks to build the University’s resilience but also help shape them into opportunities to empower the community. We will continually support and partner with our stakeholders within the University to make this possible. DATA PRIVACY -...

  • Manager / Senior Manager (Compliance)

    1 week ago

    Singapore Gambling Regulatory Authority Full time

    **What the role is** **What you will be working on** - You will investigate non-compliances reported to the Compliance Division and make recommendations on the regulatory actions to be taken. Examples of non-compliances include conducting games not in accordance with the approved game rules and failure to conduct prevention of money laundering measures in...

  • Regulatory Compliance

    1 week ago

    Singapore WOORI BANK Full time $60,000 - $80,000 per year

    Job DescriptionAs part of the Regulatory Compliance Team, the hired candidate is expected to perform the following duties, and not limited to:Regulatory Liaison and Stakeholder ManagementAssist the Regulatory Compliance Manager in liaising with regulatory authorities and government agencies (eg. MAS/ABS/ACRA etc.)Manage both internal and external...

  • Compliance Manager, Regulatory Compliance

    1 week ago

    Singapore Bank of Singapore Full time

    **Compliance Manager, Regulatory Compliance (AVP)** **-** **(**2500002Q**)** **Description** Bank of Singapore opens doors to new opportunities. Start your career with Bank of Singapore as a **Compliance Manager**! At Bank of Singapore, we are constantly on the lookout for exceptional individuals to join our team. We promote a culture of openness,...

  • Compliance Officer/ Regulatory Compliance

    1 day ago

    Singapore KS Talent Solutions Full time

    We are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role in managing...

  • Compliance Associate/ Regulatory Compliance

    1 day ago

    Singapore KS CONSULTING PTE. LTD. Full time

    **About the Role** We are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role...

  • Compliance Officer/ Regulatory Compliance

    1 week ago

    Singapore KS Talent Solutions Full time $90,000 - $120,000 per year

    We are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role in managing...

  • Compliance Associate/ Regulatory Compliance

    1 week ago

    Singapore KS CONSULTING PTE. LTD. Full time $60,000 - $120,000 per year

    About the RoleWe are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role in...