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Compliance Officer, Compliance Assurance M/F

Vacancy details

General information


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.



Publication date


Position description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Officer, Compliance Assurance M/F

Contract type

Permanent Contract

Job summary

The role is expected to: -

  • 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

  • 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.

Position location

Geographical area

Asia, Singapore


168 Robinson Road #23-03 Capital Tower 068912 Singapore

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

University degree or training recognized with professional experience in the field

Level of minimal experience

3-5 years


3-5 years of experience in Compliance and Private Banking environment 

Required skills

  • 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 especially in the absence of absolute clarity in the legal and regulatory environment;
  • be able to influence employees and regulators;
  • be a quick learner who is bright, with good, sound judgment, and mental toughness;
  • have excellent verbal/written communication skills and interpersonal communication skills;
  • have strong research, investigative and analytical skills;
  • have strong organizational, multi-tasking and prioritization skills;
  • have written and spoken fluency in English, both written and verbal; and
  • have attention to detail.