Analyst/AVP, Corporate Compliance (Compliance Department)
1 month ago
Job ResponsibilitiesSupport the monitoring and oversight of compliance matters across APAC offices in accordance with Head Office policies and applica.....
Job Responsibilities
- Support the monitoring and oversight of compliance matters across APAC offices in accordance with Head Office policies and applicable local regulations.
- Review and update existing policies in response to changes in laws, rules, and regulatory developments.
- Maintain and ensure the bank’s compliance manual remains current and accurate.
- Follow up on implementation of compliance initiatives and perform duties assigned by the Team Head.
- Monitor and assess the effectiveness of compliance frameworks across designated APAC offices.
- Stay informed on international compliance developments and Head Office policy updates; recommend and track necessary changes across APAC entities.
- Provide advisory support on compliance-related matters (excluding legal advice).
- Review materials and initiatives for adherence to regulatory requirements, including those under the Securities and Futures Act (SFA), Financial Advisers Act (FAA), and relevant banking regulations.
- Conduct on-the-job training for new hires and support broader compliance training programs.
- Undertake additional responsibilities as assigned by the Team or Department Head.
Requirements
- Bachelor’s degree or equivalent; a degree in Law is advantageous but not mandatory.
- Strong working knowledge of banking/financial institution regulatory requirements and recent industry developments.
- Familiarity with SFA, FAA, and regulatory frameworks governing licensing and regulated activities.
- Detail-oriented with strong analytical and problem-solving abilities.
- Practical, hands-on approach with sound judgment and a balanced perspective.
- Ability to perform effectively under pressure in a fast-paced environment.
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