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Job Title: Regional Compliance Control Manager

Company: Large Investment Bank

Corporate Title: Flexible Salary Range: Generous Package
Location: Singapore Date Open: Nov 2018

Responsibilities / Duties:

  • Ensures the definition and deployment of a robust and efficient Compliance control framework across the region;
  • Performs periodic control testing on the Compliance APAC function and APAC business lines, via execution of Group Control Plans and on-site review missions;
  • Coordinates the execution of Compliance risk assessment initiatives and the production of key Compliance reporting;
  • Is responsible for the definition and execution of the procedure governance and incident management framework applicable to APAC Compliance;
  • Track the status of Compliance-related recommendations to ensure that corrective actions are implemented within agreed timeframe
  • The Regional Compliance Control Manager APAC is in charge of leading a team of professional ensuring the rollout of Compliance control testing plans across the region.
  • Regional Compliance Control Testing
  • Lead a team of professional in charge of ensuring the rollout of Group Compliance control testing plans across APAC, taking into account Group, Regional and Local expectations & constraints
  • Ensure appropriate planning and resource allocation, adapting priorities and work distribution within the team as needed
  • Perform permanent control testing
  • Monitor corrective actions plans as needed
  • Maintain detailed and organized documentation of work products
  • Remain current on Group policies and industry rules, regulations and best practices to help ensure that the testing program meets Group and regulatory standards
  • Ensure high quality testing results, findings and reports are published
  • Communicate control and risk management matters (including identified issues) to relevant Compliance / Business / Country stakeholders
  • Provide status report to Management on a regular basis
  • Act as the liaison with Head Office (in France) and ensure a strong and collaborative relationship between Compliance Head Office and Compliance APAC
  • Ensure that both APAC and Group requirements and interests are adequately understood and taken into account in the rollout of Compliance Control and Risk Management initiatives.
  • Contribute to the response to regulatory and internal audit assignments as required
  • Contribute to risk assessment initiatives as required
  • Contribute to the procedure, incident and audit management framework as required

Requirements / Qualifications:

  • High level of understanding of Compliance, risk and control matters
  • Ability to prioritize and work independently
  • Ability to evaluate complex situations and to issue appropriate and pragmatic recommendations
  • Team player with interpersonal and teamwork skills
  • Self-confidence, ability to stand their ground when required
  • Experience within auditing or qualifications in finance or accounting
  • The preferred applicant shall have 6+ years of relevant experience with exposure to a multicultural context, international financial / banking institution
  • Familiar with multiple Compliance field (Financial Security, Market Integrity, Professional Ethics, Protection of Clients Interest, Tax and Global Regulatory requirements…)