Regulatory and Compliance Senior Officer

4 days ago

Singapore GreenLane Full time

T- Posted by
- Tiffany Chen- RecruiterOur client, a globally recognized bank (QFB), is seeking a skilled Regulatory and Compliance Senior Officer (QFB) to join their team.

**Main Tasks and Duties**:

- Conduct the implementation of the branch compliance plan.
- Respond to regulatory authorities’ routine queries and coordinate completion of surveys and other requests for information.
- Develop and perform periodic compliance reviews.
- Investigate compliance breaches and customer complaints.
- Draft the annual compliance plan for HOD and management approval.
- Conduct compliance training and provide advisory on Banking Act, SFA, FAA, and other compliance matters.
- Implement and update compliance policies and procedures based on Head Office and local regulatory requirements.
- Prepare/review periodic reporting to local regulatory authorities, Head Office, and Management.
- Track/monitor changes and updates on local regulations, conduct briefings and discussions on implementation with relevant departments, and perform post-implementation reviews.
- Conduct annual regulatory risk assessments.
- Handle any other tasks or duties assigned by the Head of Department or the Company.

**Job Requirements**:

- Recognized bachelor degree or above, preferably in Business or a related discipline.
- At least 5 years of relevant experience in a regulatory compliance role.
- Experience in SFA/FAA advisory.
- Performed compliance review/compliance testing such as Balanced Scorecard Review, Private Banking Sales Advisory Review, Continuing Professional Development review, Fit and Proper Review, etc., or due diligence for new product onboarding/product variation of existing products.
- Working knowledge of the Banking Act would be advantageous.
- Strong knowledge of local rules and regulations.
- Good interpersonal skills to handle stakeholders across multiple departments.

Greenlane is a recruiting firm based in Singapore, specializing in banking, trading, tech, and other industries. Feel free to reach out to us via WhatsApp at +65 9188 0521.

EA Licence No.: 20C0261 | Registration No.: R209484

  • Compliance Manager

    4 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...

  • Regulatory Compliance Officer

    1 week ago

    Singapore PICTET Full time

    **Your team**: - The Pictet group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 30 offices in financial centres worldwide, currently employing over 4600 people. Pictet has been present in Singapore for more than 25 years where it employs near 200...

  • Regulatory Compliance Officer

    4 days ago

    Singapore Hays Full time

    **Your new company** My client is a reputable foreign bank looking to hiring a Regulatory Compliance Officer for to be based in Singapore **Your new role** As a MAS liaison officer, you be handling enquiries and RFIs, maintaining a communication register, engaging internal departments on regulatory compliance matters, perform sanity checks on regulatory...

  • Compliance Officer/ Regulatory Compliance

    2 days 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 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...

  • Regulatory Compliance Officer

    2 weeks 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...

  • Regulatory Compliance Officer

    3 days 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...

  • Manager / Senior Manager (Compliance)

    2 weeks 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...

  • Senior Officer/officer, Compliance

    4 days ago

    Singapore AXA Full time

    Senior Officer/Officer, Compliance & Regulatory Affairs Singapore Working in association with the Head of Compliance, Asia, and the regional Compliance team to implement and monitor the local/ regional Compliance Program and work with Management to promote a culture of compliance across the organisation. This is a regulated role under the Central Bank of...

  • Regulatory Compliance Officer

    2 weeks ago

    Singapore Crédit Agricole CIB Full time

    Description du poste - Handles Compliance related matters for business lines including the Global Markets Department of Singapore Branch. **Mission** - In this respect, he/she is responsible for the following: - Overseeing the operational processing of financial compliance issues, customer protection - Disseminating the culture of Compliance - The direct...