• 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.

Others

• 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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 EA Licence No.: 15S7496