Job Description

Position description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Officer, Regulatory Compliance M/F

Contract type

Permanent Contract

Management position

No

Job summary

Reporting to the Head of Regulatory Compliance, he/she will be responsible:

• Assist his/her supervisor to develop, implement and review the compliance monitoring program (excluding AML Transaction monitoring) for CA Indosuez (Switzerland) SA, Singapore Branch (the "Bank") so as to ensure that the Bank and their employees understand all applicable in-country legal and regulatory requirements governing their respective businesses
• Provide regulatory advice to the business line, middle office and other relevant stakeholders
• Provide training, support and guidance to the employees of the Bank on regulatory and compliance matters
• Plan, manage and undertake the Bank's Compliance projects in relation to the Bank's business which may be assigned by the supervisor from time to time.
• Familiar with MAS licensing requirements
• Manage compliance requirements for new hires including licensing, personal dealing, etc
• Coordinate with relevant stakeholders to prepare internal and regulatory reporting
• Coordinate with auditors and relevant stakeholders in relation to audits and inspections
• Manage staff personal account dealings

• Build a constructive and effective working relationship with the business line, Middle Office and all the Bank's stakeholders who may be impacted or covered by, or involved in the implementation of Compliance policies and procedures
• Identify and resolve compliance issues (Whether in relation to the Bank's products, businesses or otherwise) by recommending, and developing, implementing and maintaining compliance policies and procedures
• Co-ordinate his/her compliance efforts with those of the Bank's global directives and initiatives
• Conduct on-going compliance induction and refresher training programs for the Bank's employees
• Respond to law enforcement or regulatory requests and undertake necessary regulatory reportings and filings
• Report promptly to his/her supervisor any actual or potential compliance issues which may affect customer suitability, pose reputational, regulatory, legal and other risks to the Bank, or expose the Bank to potential losses, and recommend suitable courses of action to address these risks
• Ensure identified errors, improper conduct or compliance exceptions are brought to the attention of his/her supervisors and receive appropriate corrective action.