AVP/VP, Compliance Monitoring &Surveillance
Overview
The role supports the Compliance team in ensuring the branch's adherence to MAS, FINMA, and internal regulatory standards. Reporting to the Head of Compliance Advisory, the incumbent provides compliance advisory and executes monitoring programs across Private Banking and Treasury & Trading activities.
Key Responsibilities
- Assist the Head in implementing Management and Functional Controls
- Conduct and document monitoring and testing of Compliance and Financial Crime programs track and follow up on findings.
- Conduct all necessary regular review and surveillance on Compliance and Financial Crime controls framework
- Prepare and review regulatory and management reports.
- Support reviews of new products, activities, and variations for compliance alignment.
- Assist with training, audits, inspections, and other ad hoc compliance initiatives.
Requirements
- Bachelor's degree
- Min 6 years of experience in monitoring and surveillance within the financial services industry, preferably familiar with market integrity and market abuse.
- Analytical and pragmatic, with strong problem-solving skills and a risk-based approach.
- Excellent stakeholder engagement, communication, and report-writing abilities.
- Proactive, detail-oriented, and a collaborative team player.
