Avp, Compliance and Business Control, Spda

2 days ago

Singapore Sumitomo Mitsui Banking Corporation Full time

**Responsibilities**:

- Proactively identify areas for improvements and assist to implement/enhance procedures, processes, internal controls to strengthen the first line of defence for offices under APAC and East Asia region.
- Evaluate internal controls and compliance programs through compliance monitoring and training sessions.
- Perform independent surveillance on existing process and internal controls
- Assess training needs, develop and review training materials related to regulatory/compliance/internal policies/rules.
- Provide sound and coherent advice, interpretation and recommendation on compliance laws, rules, internal policies and procedures relating to new business, cross border marketing and licensing etc.
- Familiar with MAS regulations and relevant reportings
- Provide guidance and approvals to Front office regarding compliance and governance matters eg. Advertising/Presentation materials, Entertainment & Gifts, MNPI/COI information etc
- Assist to manage and co-ordinate internal and external audits including regulatory inspections and to follow upon any issues raised.
- Perform risk assessments to assess effectiveness of key controls designed to address business compliance risk.
- Promote stronger compliance culture and literacy in the department.

**Job Requirements**
- A university graduate
- At least 7-10 years of working experience within a compliance function in a financial institution
- Strong appreciation of compliance and governance structure
- Ability to prioritize and work effectively in a rapidly changing environment with the capacity to proactively anticipate, identify, prevent and resolve issues, within tight/ conflicting timelines
- Good interpersonal skills with ability to build partnerships within the bank to manage oversight of compliance risk
- High level of integrity, dependable, adaptable and committed with a high level of initiative

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