Regulatory Compliance (Senior Officer)

Your new company

A leading international banking institution and Qualifying Full Bank (QFB) license holder is seeking talent for its established Corporate Banking department. The Bank is a key regional hub for structured trade finance and global cash management, acting as a strategic gateway for multinational corporations and large-cap clients expanding across Asia.

Your new role

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  Conduct the implementation of the branch compliance plan
  
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  Respond to regulatory authorities' routine queries and coordinate completion of surveys and other requests for information
  
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  Develop and perform periodic compliance reviews
  
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  Investigate compliance breaches and customer complaints
  
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  Draft the annual compliance plan for HOD and management approval
  
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  Conduct compliance training and provides advisory on the Banking Act, SFA and FAA and other compliance matters
  
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  Implement and update compliance policies and procedures based on Head Office and local regulatory requirements
  
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  Prepares/reviews periodic reporting to local regulatory authorities, head office and Management. Tracks/monitors changes and updates on local regulations, conducts briefings and discussions on implementation with relevant departments and post-implementation review
  
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  Conduct annual regulatory risk assessment
  

What you'll need to succeed

Education

Recognised Bachelor's degree or above, preferably in Business or related discipline

Working Experience
At least 5 years of relevant experience in a regulatory compliance role
Experience in SFA/FAA advisory
Performed compliance review/compliance testing such as Balanced Scorecard Review, Private Banking Sales Advisory Review, Continuing Professional Development review, Fit and Proper Review, etc. or due diligence for new product onboarding/Product variation of existing products
Working Knowledge of the Banking Act would be advantageous

Language

English & Mandarin to liaise with English & Mandarin-speaking internal/external stakeholders

Others
Strong knowledge in local rules and regulations
Good interpersonal skills to handle stakeholders across multiple departments

What you need to do now
If you or someone you may know may be interested in this opportunity, please do contact me on the details below for more information or drop over an updated CV, preferably in Word format, to my email at [email protected]

Alternatively, if this job opportunity is not relevant to you, feel free to share your updated CV to have a confidential discussion on the relevant openings based on your skill sets and expertise.

At Hays, we value diversity and are passionate about placing people in a role where they can flourish and succeed. We actively encourage people from diverse backgrounds to apply.

EA Reg Number: R23118004
EA Licence Number: 07C3924
Company Registration No: 200609504D