Regulatory Compliance Officer Specialized in Sfa/faa

5 days ago

Singapore KOOKMIN BANK CO., LTD. SINGAPORE BRANCH Full time

**About KB Kookmin Bank Singapore Branch**

KB Financial Group is the leading Financial Group with largest assets size and most profitable Group in Korea. And KB Financial Group operates it's business across Asia, Oceania, Europe and America. With the growing presence and expansion plan in Asia, KB Financial Group had obtained its Wholesale Banking license in 2021 for their establishment of a branch in Singapore.

KB Kookmin Bank is the largest affiliate of KB Financial Group.

KB Kookmin Bank Singapore Branch offering a wide range of wholesale banking products and financial services such Debt Capital Market, Investment Banking and Corporate Banking.

**Job Scope**:

- To focus on compliance to the regulatory requirements of SFA/FAA and handle all related queries from different departments
- To handle other regulatory compliance matters, as assigned.
- Review (annually and as needed) and ensure P&Ps are aligned with such requirements
- Work closely with Capital Markets Department in meeting requirements and assist in responding to queries and clarifications
- Person in-charge of the following:

- Registration of Authorized Representatives
- Coordinate with HR on the required fit and proper checks for Authorized Representatives
- Other regulatory submissions relating to Capital Markets business and activities
- Key point person for Policies and Procedures relating to Capital Markets, such as Personal Account Dealing Policy, OTC Derivatives Trading Policy, Market Conduct Policy.
- Perform gap analysis whenever required, such as when new regulations or MAS/Industry papers are published
- Provide SFA/FAA-related training to staff

**Requirements
- 5-7 years of experience in regulatory compliance in the SFA/FAA field.
- Bachelor's degree holder in the field of Banking/Finance, or other business-related fields
- Analytical and detail-oriented
- With strong compliance mindset
- Excellent communication and interpersonal skills

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