- Assist in overseeing the monitoring of compliance matters of APD offices as set out in the head office policies and local laws from time to time including covering the following areas:
- reviewing existing policies in light of new developments in laws, rules and regulations, maintaining and keeping bank's compliance manual up-to-date, staff training on compliance matters, compliance monitoring and testing, and other compliance related duties assigned by Team Head
- monitoring and supervising the compliance framework of assigned APAC offices
- Keep up to date with international developments in compliance as well as changes to HO policies and recommend and monitor changes to each APAC office’s policies
- Provide advice on compliance matters and requirements (other than legal matters)
- On the job training of new joiners and assisting in compliance training for employees.
2. Advising on appropriate handling of price sensitive information and conflicts of interest and assist to establish and maintain a control room
3. Any other matters assigned by Team or Dept Head
Requirements :
- Degree or equivalent
- Good working knowledge of regulatory requirements and recent developments, including broad knowledge of AML
- Knowledge of handling conflicts of interest, price sensitive information and managing a control room
- Working knowledge of SFA/FAA is essential
- Meticulous, with good analytical and problem solving skills
- Hands on, practical and with a balanced mindset
- Able to work under pressure
(candidates with lesser experience will be considered at Assistant Manager level)
