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AVP - Compliance and Controls, ASDV/SPDA - SMBC

icon building Company : Sumitomo Mitsui Banking Corporation
icon briefcase Job Type : Full Time
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Job Description - AVP - Compliance and Controls, ASDV/SPDA - SMBC

Job Responsibilities:
  • Provide advisory support and serve as resource to departments in ASDV regarding compliance and control issues.
  • Maintenance of risk control register, conduct ongoing review of key risk areas, perform risk assessments to identify gaps and formulate measures to enhance effectiveness of controls.
  • As 1 LOD, proactively manage surveillance and compliance reviews by 2 LOD, by identifying and addressing control weaknesses ahead of 2LOD review, coordinate business responses to information requests and ensuring findings are remediated promptly
  • Oversee COI and PSI controls within department, incl. wall crossing procedures, information barrier protocols and restricted list maintenance.
  • Review pitchbooks for regulatory compliance, fair dealing, disclosure accuracy for required disclaimers and cross border marketing distribution.
  • Assess Accredited Investor/Institutional Investor status based on complex structures and trust arrangements
  • Coordinate and manage the timely completion of mandatory internal training and SFA/FAA-required CPD hours by staff, including tracking, record-keeping, escalation of late completion, and coordination with approved external training providers, HR and Compliance Dept.
  • Conduct internal compliance trainings as 1LOD to ensure staff are provided with sufficient education and awareness to ensure compliance with regulatory requirements and Bank procedures.
  • Assist during internal and external audits or inspections, including following up on and assisting in resolving identified issues or deficiencies
Job Requirements
  • Relevant degree holder, with 6-10 years of compliance, risk or regulatory work experience in banking industry.
  • Good knowledge and understanding of financial regulatory requirements such as Banking Act, Securities and Futures Act and its related notices/subsidiary legislation and ability to apply.
  • Good judgement, problem solving skills and be results/task oriented to ensure sound implementation of controls, compliance processes and procedures.
  • Team player and demonstrated ability to work across all levels of the organization.
  • Strong analytical and with good communication skills.
  • Proactive, independent and resourceful.
  • Able to work under time constraints and pressure.
  • Demonstrated experience with MSForms, Power BI and other M365 applications will be an advantage
Original job AVP - Compliance and Controls, ASDV/SPDA - SMBC posted on GrabJobs ©. To flag any issues with this job please use the Report Job button on GrabJobs.
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