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Compliance Manager, Assurance M/F


Vacancy details

General information

Entity

Indosuez Wealth Management has a solid foundation in Asia as a pioneering bank with more than a century old heritage, when Banque de l'Indochine opened its historic offices in Hong Kong and Singapore. From these two locations, branches of
CA Indosuez (Switzerland) SA, almost 220 highly specialised wealth managers combine their knowledge of the region with the vast opportunities provided by the global network of Indosuez Wealth Management and the Credit Agricole group.
  

Reference

2022-71161  

Publication date

28/07/2022

Position description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Manager, Assurance M/F

Contract type

Permanent Contract

Management position

No

Job summary

Reporting to the Head of Compliance, Singapore Branch, he/she will be responsible:

  • Implement compliance assurance and monitoring program (“Assurance Program”) for CA Indosuez (Switzerland) SA, Singapore Branch (the “Bank”) so as to validate that the Bank and their staff are complying with key applicable in-country legal and regulatory requirements governing their respective businesses;
  • Assist his/her supervisor to develop, implement and regularly improve the Assurance Program;
  • Identify gaps in the Bank’s controls and recommend solutions to address those gaps;
  • Provide training, support and guidance to the employees of the Bank on identified compliance gaps; and
  • Plan, manage and undertake such of the Bank’s Compliance projects in relation to the Bank’s business which may be assigned by the supervisor from time to time.

Key Responsibilities

In the course of carrying out the above responsibilities, he/she would be expected to be able to independently: -

  • Build a constructive and effective working relationship with the business line, Middle Office and all the Bank’s stakeholders;
    Identify and report to his/her supervisor compliance issues identified by the Assurance Program;
  • Co-ordinate his/her compliance efforts with those of the Bank’s global directives and initiatives;
  • Assist his/her supervisor to develop and manage the on-going controls and review strategy for the Bank’s controls;
  • Assist his/her supervisor to develop, implement and maintain monitoring and review programs for the Bank;
  • Recommend to his/her supervisor enhancements to the controls conducted by the bank in response to new laws and regulations as well as new products and services;
  • Respond to law enforcement or regulatory requests and undertake necessary regulatory reporting and filings under the supervision of his/her supervisor;
  • Report promptly to his/her supervisor any actual or potential compliance issues which may affect customer suitability, pose reputational, regulatory, legal and other risks to the Bank, or expose the Bank to potential losses, and recommend suitable courses of action to address these risks; and
  • Ensure identified errors, improper conduct or compliance exceptions are brought to the attention of his/her supervisors and receive appropriate corrective action.

To be effective and successful in this position, he/she must:-

  • Be a self-motivated, self-initiated creative problem-solver who enjoys working in a start-up environment;
  • be able to foster a constructive and effective working relationship with all the Bank’s stakeholders who may be impacted or covered by, or involved in the implementation of Compliance policies and procedures;
  • be a strong team player who is strategic and yet practical, able to navigate through diverse cultures, and develop and lead strategies in the face of an increasingly-regulated landscape;
  • be focused on achieving results for the Bank;
  • have strong analytical skills and ability to make sound judgments 

Position location

Geographical area

Asia, Singapore

City

Singapore

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

Minimum Bachelor Degree in relevant studies. 

Level of minimal experience

6-10 years

Experience

Minimum 5-8 years in relevant Compliance experience in the Private Banking Wealth Management space.

Required skills

Ability to:-

  • foster a healthy compliance culture amongst Bank staff by building rapport and a healthy working relationship with the Bank’s staff
  • proactively build a compliance program that will manage the regulatory and compliance risks faced by the Bank comprehensively and in a timely manner
  • proactively and promptly identify and address compliance issues that may arise in relation to the Bank’s business, products and initiatives
  • demonstrate teamwork and forge a constructive working relationship with the Bank’s staff.