Director / Vice President – Monitoring, Regulatory Compliance

Posted 15 July 2022
DisciplineChief Operating Officer & Governance

Job Description

  • Based in Singapore / Hong Kong

  • Highly visible role

  • Great career opportunity growth

 Our client is a top tier European Private Bank and we invite high caliber professional to apply for this new role, reporting directly to the Head of Compliance.


Key Responsibilities:

 Key Scope

  • Investment suitability & sales process

  • Cross border

  • Market abuse and Conflict of interests (G&E, PA Dealing etc)

  • Licensing and staff conduct and outsourcing

 Risk Assessment

  • Perform annual risk assessment to identify key risk areas that need to be monitored.

Compliance Monitoring and Testing

  • Formulate yearly and thematic compliance monitoring and testing plan based on risk assessment results, regulatory horizon scanning, and discussion with key stakeholders.

  • Execute compliance monitoring and testing plan, including conduct of thematic review as necessary.

  • Report results to senior management &/or relevant committees.

  • Track for timely resolution of issues identified during compliance monitoring and testing activities, which should also focus on root cause/key controls as opposed to just remediating specific samples.

  • Maintain the compliance and testing monitoring framework, including Directive.

 Audit/Inspection/External Audit

  • Track for timely resolution of audit/inspection/external review findings that are owned by Compliance.

  • Report status of resolution to Head of Compliance and relevant committee.


  • Projects

  • Management reporting

  • Coordinate audit/inspection activities

 Key Requirements:

  • Degree holder.

  • Min 10 years relevant experience in FCC/AML function within a wealth management/private bank, or Big 4, with at least 5 years in FCC/AML Monitoring roles or equivalent in controls.

  • Candidates with less experience will be considered for VP position

  • Strong product knowledge and Singapore regulations

  • Good communication and writing skills in English.

  • Possess initiative and is able to work independently.

  • Able to handle stress and has excellent time management skills.

  • Strong interpersonal skills and a good team player.

  • Strong analytical and evaluative skills and attention to details.

  • Good computer skills in MS Excel, Word & Powerpoint


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