Asian Investment Banking Division, Business Risk Management Department, Compliance Risk Management
We are seeking a suitable candidate who will assist the (1st line) Business Compliance team of Global Corporate Banking and Investment Banking Divisions in conducting reviews & monitoring of clients’ communication documents, updating and maintaining Business Compliance Framework & SOP, coordinating first-line compliance projects & periodic risk assessment, participating as member of the regulatory compliance workgroup led by Regional and Singapore Compliance Office (2nd line), and other compliance support tasks.
The position encompasses the following duties:
- Coordinating compliance projects & implementation of compliance initiatives/program;Conducting business compliance checks (e.g. marketing materials) and follow-up with respective staff for any findings or potential risk identified;
- Assisting in data extraction, analysis, calibration for compliance risk assessment & reporting;
- Checking accuracy and completeness of Business’ submissions (e.g. application of gift/entertainment, regulatory returns, regulated products)
- Disseminating relevant compliance-related circulars/procedures to business lines;
- Advising on Business Compliance-related matters;
- Updating/Maintaining departmental SOP related to business compliance & regulatory requirements;
- Coordinating with various business lines for compliance trainings/ conducting introductory trainings;
- Providing administrative support to department Head;
- Carrying out ad-hoc tasks assigned by department Head and the Management.
- Minimum 3 years of compliance or internal control or audit experience in Banking/ Financial Institutions;
- Tertiary or diploma qualifications in accountancy, finance or business administration;
- Excellent skills in MS Office (Excel);
- Strong analytical and organization skills, keen eye for details, able to manage multiple projects/tasks simultaneously, result-oriented, and a team player;
- Good communication and writing skills.
We regret to inform that only shortlisted applicants will be notified.