Manager, Compliance

5 days ago

Singapore China CITIC Bank International Limited (SG Branch) Full time

**Job Purpose** Assist the Head of Compliance in managing the Branch’s PB/Wealth Management compliance program and carrying out compliance monitoring and reviews to ensure compliance with all applicable laws and regulations (including Banking Act, Securities & Futures Act and Financial Advisers Act.) as well as managing AML-related projects and ensure timely implementation. **Job Responsibilites** - Assist in Anti-Money Laundering ("AML") compliance advisory support, including training to the business partners and handling AML issues (suspicious transactions investigation) for the Branch; - Review KYC/CDD documents for the onboarding of new customers and periodic review of existing customers’ accounts; transaction monitoring; - Conduct reviews of transactions flagged as alerts in the SAM ACTIMIZE System within the stipulated timelines; - Participate in Group AML monitoring enhancement projects and ensure timely implementation; - Assist with the implementation of new regulatory requirements and develop amendments to the compliance program; - Assist with developing and managing a robust compliance testing & reporting; identifying potential compliance and/or control risks for compliance checks and control enhancements; - Provide support to business and/or supporting units in the development, implementation and regular review of policies and procedures for their operations with due regard to AML, SFA/FAA applicable regulatory requirements; - Follow up on all compliance-related, including AML findings, and relevant rectification effort; - Provide advice to business partners (front and back offices) on regulatory compliances, including MAS Notices, SFA, FAA etc. - Provide compliance training to employees and manage ad-hoc compliance related tasks; - Review and update policies and procedures maintained within Compliance Department (Compliance Manual, Compliance Operations Manual, AML Policy and Procedures, Customer Data Protection Policy, etc.); - Liaise with relevant parties to track status of internal and external audit findings as well as submit regular status updates to MAS and Head Office; - Assist in any other ad-hoc Compliance related matters assigned by AVP or Head of Compliance. **Job Requirements** - Degree holder in Banking and Finance, Accounting or related discipline. - Minimum 3 to 5 years general auditing or compliance experience (experience and knowledge in PB/Wealth Management is preferable) in banks in Singapore and/or regulatory bodies; - Professional Compliance qualifications are preferred, such as ICA, ACAMS, etc. - Good knowledge in Singapore AML/CFT regulations and sanction laws, banking regulations such as Banking Act, SFA, FAA FATCHA/FRS compliance monitoring. - Strong analytical and problem solving skills; - Ability to prioritize and work in fast-paced environment.

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