Director, General Compliance & Monitoring

About the job

You will provide support to the Singapore Compliance team, handling the day-to-day spectrum of compliance activities for the Singapore branch, to ensure that the business operations adhere to the requirements of the Monetary Authority of Singapore, the Swiss Financial Market Supervisory Authority (FINMA), and all relevant compliance-related laws and regulations; as well as internal compliance policies and procedures.

You will assist the Head of General Compliance & Monitoring and Testing in general Compliance advisory, as well as conducting monitoring and testing program for the Private Banking and Treasury & Trading activities.

You will assist with general advice on Singapore’s Private Banking relevant policies and procedures, from group guidance and local regulatory perspective and will assist with general advice on Asia Treasury & Trading requirements.

You will conduct monitoring and testing programs for activities by Private Banking and Treasury and Trading and will prepare working papers and draft monitoring reports for review; as well as follow up and monitor clearance of issues.

You will assist in the preparation and submission of compliance/ regulatory reports for management, regulators, auditors, etc. and will assist the Head in reviewing new products, new activities and variations of existing ones.

You will assist in the preparation of materials for Compliance training and will assist in audits and inspections, and investigations where required. You will assist the Head in any other work matters and be involved in ad-hoc special work projects as and when required.

 

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