AVP, Compliance Officer, Asia Pacific AVP, Compliance Officer, Asia Pacific …

Sloane Shorey Consulting
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 26 May 20
Competitive
Sloane Shorey Consulting
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 26 May 20
Competitive
Global financial institution is seeking a confident compliance professional to join the APAC Compliance team in Singapore. The individual will assist the Head of Compliance to manage regulatory and compliance matters within APAC, including regulatory compliance, personal conflicts monitoring and compliance testing and monitoring.

***This role does not require AML or KYC experience***

AVP, Compliance Officer

Global financial institution is seeking a confident compliance professional to join the APAC Compliance team in Singapore.  The individual will assist the Head of Compliance to manage regulatory and compliance matters within APAC, including regulatory compliance, personal conflicts monitoring and compliance testing and monitoring.

Open to candidates from regulatory audit, the regulator, legal and in-house compliance.

 

Responsibilities:

The Compliance Officer will, together with other compliance officers within Asia Pacific, oversee and monitor compliance with regulatory requirements in relation to operations in the region. 

Duties:

  • Manage ongoing regulatory filings, ad hoc regulatory requests and regulatory exams.  This includes liaising with regulators and internal stakeholders, coordinating responses internally and ensuring responses are appropriate and timely.
  • Maintain strong and productive relationships with regulatory bodies and internal stakeholders
  • Handle internal queries on regulatory requirements and compliance policies and procedures
  • Monitor regulatory development, conduct impact analysis and propose/take the required course of actions
  • Advise on employee licensing matters in Hong Kong and Singapore, monitor compliance with ongoing, training and filing requirements
  • Conduct internal compliance training
  • Provide quality and timely input to compliance and management reporting
  • Participate in and provide compliance input at internal governance meetings
  • Participate in compliance projects under the global compliance workplan and support delivery of the workplan in Asia Pacific

 

Experience:

  • 5-9 years of regulatory compliance or legal experience in a financial institution or regulator
  • Good knowledge of financial markets and understanding of local regulatory requirements in key Asia Pacific markets
  • Experience in directly interacting with regulators, including regulatory exams
  • Understanding of risk governance, supervision and control framework, concepts of control design and control operating effectiveness

***This role does not require AML or KYC experience***

For a confidential discussion on this role, please apply now.

 

Sloane | Shorey

Sloane Shorey Consulting is a specialist recruitment firm focusing on corporate governance hiring within banking and financial services. From our offices in Singapore, we recruit for compliance, controls and risk management positions across Asia Pacific. We are a Ministry of Manpower Licensed Employment Agency (EA License 17S8548).

Live vacancy listings: sloaneshorey.catsone.com/careers

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