Job Summary
We are seeking an experienced Regulatory Compliance Officer to support the Bank's Private Banking business.
The role focuses on MAS regulatory advisory, regulatory change management, compliance monitoring and governance. The successful candidate will work closely with internal stakeholders and Head Office to ensure the Bank's activities, policies and procedures comply with applicable regulatory requirements.
Key Responsibilities
- Provide regulatory advisory on MAS requirements to business and internal teams.
- Review new and revised MAS regulations and conduct regulatory gap analysis.
- Review and maintain Compliance policies and procedures.
- Review policies and procedures submitted by business units and Head Office from a Singapore regulatory perspective.
- Review marketing materials, promotional content and client-facing communications from a regulatory compliance perspective.
- Design and conduct risk-based compliance reviews and identify potential regulatory gaps or risks.
- Review and provide advisory on Representative Notification Framework (RNF) matters.
- Work with relevant internal teams on representative-related regulatory requirements and notifications.
- Monitor and communicate MAS regulatory updates to management, relevant teams and Head Office.
- Prepare periodic compliance reports for management and Head Office.
- Support regulatory submissions, regulatory enquiries and compliance-related projects.
- Perform other compliance-related duties and projects as assigned.
Requirements
- Minimum 5 years of relevant regulatory compliance experience within a banking or financial institution.
- Strong experience in MAS regulatory advisory and regulatory interpretation.
- Good working knowledge of the Securities and Futures Act, Financial Advisers Act and Banking Act.
- Experience in regulatory change management, gap analysis, policy review and compliance monitoring.
- Experience reviewing marketing materials or client-facing communications from a regulatory perspective is an advantage.
- Experience with RNF / representative-related regulatory matters is an advantage.
- Experience in Private Banking, Wealth Management, Securities or Financial Advisory is advantageous.
- Strong analytical, communication and stakeholder management skills.
- Ability to work independently while collaborating effectively with internal stakeholders.
Interested candidates are encouraged to submit their resumes along with a cover letter outlining their relevant experience and achievements to [Confidential Information] or click apply now!
..We regret to inform that only shortlisted candidates would be notified..
Talentvis Singapore Pte Ltd | EA License No: 04C3537
EA Personnel Name: Wong Xin Tong | EA Personnel No: R26162902
