Employee Compliance Officer, AVP

Role Description

• The Employee Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Departments success.
• In the APAC region, Employee Compliance (EC) are responsible for Personal Account Dealing, Private Investment Transactions, Outside Business Interests, Global Attestations and Licensing & Registrations (Singapore and Hong Kong).
• The successful candidate will be responsible for providing oversight to centralized services relating to all processes relating to EC Operations in APAC. You will also be responsible for managing escalation cases relating to senior management to provide a high quality of service and meet the expected service standards. You should have experience in Compliance Operations, meet stakeholder expectations and requirements, communicate upwards and downwards and escalate relevant issues to senior management and regional stakeholders. Also, ability to help identify/deliver value / efficiencies through continuous process improvements and automation and implementation of globally consistent processes.

Your key responsibilities

• Be APAC subject matter expert in PAD
• Lead the Personal Account Dealing (PAD) and Global Attestation (GA) pillars for APAC EC regional team.
• Manage escalations from APAC employees and EC DIPL team regarding PAD matters
• Perform QA (quality assurance) on tasks performed by the EC processing team and ensure appropriate QA documentation
• Escalation point for breach and consequence management reviews / queries from stakeholder
• Ensure escalated cases are followed up and documented and updated in a timely manner
• Ensure the task queues are handled and closed in a timely manner to mitigate backlogs
• Identify risk based EC operating efficiencies
• Review, investigate and escalate irregularities and abnormal activities.
• Provide general oversight on EC activities performed by the EC BAU processing team
• Partner with other Compliance teams such as Country Compliance and Business Line Compliance in APAC on EC matters
• Provide support to and manage senior management queries
• Work with EC BAU processing team to create MI Reports as and when required to senior management
• Provide support on global and ad hoc EC initiatives
• Remain aware of any regional regulatory developments which may impact the EC processes

Your skills and experience

• 8 to 10 years of Investment Banking experience in Compliance Operation processes.
• MBA or equivalent degree or PG in Commerce and Finance.
• Strong operations background in standard banking products, financial market products, stock exchanges and should be able to interpret policies.
• Skilled in verbal and written articulation/communication with the senior management comfortable in making presentations and exposure to handle audits.
• Strong analytical skills, attention to detail, service commitment and solid people management skills, manage communication upward and downward.
• Innovative approach to work and ability to continuously identify and implement process improvements and automate/create efficiencies
• The ability to work under pressure and within tight deadlines with excellent quality.
• Action oriented with a strong focus on completing tasks while working independently and with minimum direction.
• Well versed in using MS office, PowerPoint, and Excel (Pivots, Vlookup, formulas and data analysis)