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Job Title: Compliance Officer - Securities Services

Company: Global Bank

Corporate Title: Associate Salary Range: Permanent
Location: Singapore Date Open: Dec 2018

Responsibilities / Duties:

Position Purpose
The Compliance Officer is required to support the compliance function within the Securities Services Singapore Branch and the Bank's Trust Services Singapore Limited in relation to the Group’s compliance control framework and local regulatory obligations.

Key Responsibilities
  • He/she validates the policies to be adhered by the territory and controls that they are respected and implemented by achieving a twofold objective:
  • Independence of decisions; binding advice
  • Close partnership with the business to provide them strong second levels of control, guidance and advisory
  • He/she is responsible for developing and maintaining a strong Compliance culture within his/her perimeter
  • The Compliance Officer works in close cooperation with other Compliance officers and business lines to ensure consistency of decisions and operating models
Compliance Officers Are Responsible For The Following Activities
  • Provides reasonable assurance on the compliance of the operations / activities with applicable laws and regulations and escalates to his/her manager to ensures action plans are launched for perceived weaknesses
  • Ensures consistency of the Compliance model and policy within his/her operational perimeter
  • Supports the Compliance rules to be adapted / implemented in coordination with the Compliance Domains and the Business Lines
  • Coordinates diffusion of policies and adaptation into operational procedures
  • Supports the effective implementation of Compliance rules
  • Supports the effective implementation of Compliance tools & systems
  • Makes Compliance decisions on issues reported by local teams in his/her scope of responsibility, involving the Compliance Central Domains when relevant
  • Act as an entry point in Decision Process
  • Exercises decision rights for category 1 level cases
  • Supports appropriate governance to manage risk of non-compliance : leveraging Business Lines COs expertise, Leveraging Domains COs expertise
Key Interaction
  • Representatives of Compliance Operational Perimeters and Domains
  • Compliance Business Line representatives
  • Business representatives
  • Other Control functions

Requirements / Qualifications:

Technical Skills
  • General knowledge of applicable local regulatory framework and its evolutions
  • Knowledge of Compliance issues and challenges specific to his/her territory
  • Knowledge of the Bank (processes, products, clients…)
  • Legal culture and literacy
Soft Skills / Behavioural
  • Integrity
  • Accuracy
  • Directing in a positive way (hold one's positions in complex circumstances)
  • Self-confidence (independent mindset)
  • Ability to learn (curiosity)
  • Client focus
  • Forward thinking
  • Decision-making skills
  • Acting with perspective
Specific Qualifications Required
  • University graduates
  • At least 3 - 5 years of banking and/or regulatory experience