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
