Analyst/AVP, Corporate Compliance (Compliance Department)

Requirements

• Degree or equivalent qualification in a relevant discipline. Qualifications in Law, Finance, Business, or related fields are advantageous.
• Good understanding of regulatory requirements and recent developments within the banking and financial services industry.
• Working knowledge of the Securities and Futures Act (SFA), Financial Advisers Act (FAA), and related licensing and regulated activity requirements.
• Strong analytical, problem-solving, and organisational skills.
• Detail-oriented with the ability to manage multiple responsibilities effectively.
• Practical, proactive, and able to exercise sound judgement.
• Able to work independently and collaboratively in a fast-paced environment.
• Strong communication and stakeholder management skills.

Additional Information

Job Responsibilities Support the oversight and monitoring of compliance matters across APAC offices in accordance with Head Office policies and applicable local regulatory requirements, including the following responsibilities: Review and assess existing policies and procedures in response to changes in laws, regulations, and industry developments. Maintain and update the Bank's compliance manuals, policies, and related documentation. Follow up on implementation matters and carry out compliance-related duties assigned by the Team Head. Monitor and support the compliance framework of assigned APAC offices. Stay informed of international compliance developments and updates to Head Office policies, and recommend appropriate enhancements to local office policies and procedures. Provide guidance and advisory support on compliance-related matters and regulatory requirements (excluding legal advice). Review materials and activities relating to compliance with the Securities and Futures Act (SFA), Financial Advisers Act (FAA), Banking Act, and other applicable regulations. Support onboarding and on-the-job training for new team members, and assist in compliance training initiatives for employees. Participate in compliance projects, reviews, and other duties assigned by the Team or Department Head.

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Company Intel

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