Compliance Control Testing Officer

3 weeks ago

Singapur, 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 28 offices in financial centres worldwide, currently employing over 4600 people. Pictet has been present in Singapore for more than 25 years where it employs over 200 people.

The Compliance function is responsible for helping Pictet’s senior management manage the compliance risks faced by Pictet.

This role will focus on the risks faced by Pictet’s Singapore bank, Bank Pictet & Cie (Asia) Ltd (BPCAL).

Your role

The Compliance Officer will be part of the team that will lead the development and running of a risk-based Compliance Control Testing Program that provides Compliance and Senior Management with sufficient insights into the health of key controls performed by the first line of defence, whether in relation to anti-money laundering/counter financing of terrorism (AML/CFT) risks or other regulatory topics such as investment suitability, cross border activity, market abuse, etc. The Officer is also expected to support the team for activities performed under direct Compliance responsibility (e.g. advisory, payments and transactions review).

This role will report to the Singapore Head of Compliance.

Key responsibilities:

Maintain a robust control testing campaign plan over key controls performed by the first line of defence in line with regulatory expectations and Group standards. Adapt policies and procedures as needed regarding control testing methodology, test steps, etc. Execute or supervise testing reviews on the design and operating effectiveness of controls across key compliance risks.  Identify issues impacting risks under review, presenting and discussing control improvements with relevant stakeholders to mitigate risks. Report testing results periodically to Compliance and Bank Management. Participate and represent Compliance as needed on projects and initiatives. Support the resolution of Compliance action plans stemming from audits and inspections. Contribute to the production of relevant management information reports to the Bank’s governing bodies on the management of regulatory risks. Perform any other duties as assigned.

Your profile

Bachelor’s degree in Law, Banking or Business.  Prior experience designing or leading a compliance assurance, compliance testing or audit program. 10 or more years’ experience in a compliance, risk and control and/or audit (internal, external) function. Extensive exposure to the Private Wealth platform preferred. Working knowledge of Singapore regulations (including AML/ CFT, investment suitability, cross border, market abuse and other compliance risks). Prior experience in a similar role in a Private Bank or with a regulatory body will be advantageous. Highly effective verbal and written communication and organizational skills. Strong analytical skills, pragmatic, operational-minded, ability to think out-of-the-box. Team player, self-motivated and adaptable. Ability to multi-task competing priorities while maintaining a high degree of accuracy and attention to detail. Critical and strategic thinking, ability to face challenging situations and be assertive as needed. Capable of working with cross-functional and senior stakeholders. Sense of accountability, good time management and ability to meet tight deadlines.

Note

We will not accept any CVs via agencies

Diversity & Inclusion

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.

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