Regulatory and Compliance Senior Officer
at Greenlane
Singapore, Southeast, Singapore -
Start Date | Expiry Date | Salary | Posted On | Experience | Skills | Telecommute | Sponsor Visa |
---|---|---|---|---|---|---|---|
Immediate | 19 Sep, 2024 | Not Specified | 20 Jun, 2024 | 5 year(s) or above | Interpersonal Skills,Whatsapp,Trading,Regulations,Due Diligence | No | No |
Required Visa Status:
Citizen | GC |
US Citizen | Student Visa |
H1B | CPT |
OPT | H4 Spouse of H1B |
GC Green Card |
Employment Type:
Full Time | Part Time |
Permanent | Independent - 1099 |
Contract – W2 | C2H Independent |
C2H W2 | Contract – Corp 2 Corp |
Contract to Hire – Corp 2 Corp |
Description:
T
Posted by
Tiffany Chen
Recruiter
Our client, a globally recognized bank (QFB), is seeking a skilled Regulatory and Compliance Senior Officer (QFB) to join their team.
JOB REQUIREMENTS:
- Recognized bachelor degree or above, preferably in Business or a related discipline.
- 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.
- Strong knowledge of local rules and regulations.
- Good interpersonal skills to handle stakeholders across multiple departments.
Greenlane is a recruiting firm based in Singapore, specializing in banking, trading, tech, and other industries. Feel free to reach out to us via WhatsApp at +65 9188 0521.
EA Licence No.: 20C0261 | Registration No.: R209484
Responsibilities:
- Conduct the implementation of the branch compliance plan.
- Respond to regulatory authorities’ routine queries and coordinate completion of surveys and other requests for information.
- Develop and perform periodic compliance reviews.
- Investigate compliance breaches and customer complaints.
- Draft the annual compliance plan for HOD and management approval.
- Conduct compliance training and provide advisory on Banking Act, SFA, FAA, and other compliance matters.
- Implement and update compliance policies and procedures based on Head Office and local regulatory requirements.
- Prepare/review periodic reporting to local regulatory authorities, Head Office, and Management.
- Track/monitor changes and updates on local regulations, conduct briefings and discussions on implementation with relevant departments, and perform post-implementation reviews.
- Conduct annual regulatory risk assessments.
- Handle any other tasks or duties assigned by the Head of Department or the Company.
REQUIREMENT SUMMARY
Min:5.0Max:10.0 year(s)
Banking/Mortgage
Banking / Insurance
Mortgage Services
Graduate
Business or a related discipline
Proficient
1
Singapore, Singapore