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Compliance Officer, Regulatory Compliance 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

2022-72151  

Publication date

15/09/2022

Position description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Officer, Regulatory Compliance M/F

Contract type

Permanent Contract

Management position

No

Job summary

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

  • Assist his/her supervisor to develop, implement and review the compliance monitoring program (excluding AML Transaction monitoring) for CA Indosuez (Switzerland) SA, Singapore Branch (the “Bank”) so as to ensure that the Bank and their employees understand all applicable in-country legal and regulatory requirements governing their respective businesses
  • Provide regulatory advice to the business line, middle office and other relevant stakeholders
  • Provide training, support and guidance to the employees of the Bank on regulatory and compliance matters
  • Plan, manage and undertake the Bank’s Compliance projects in relation to the Bank’s business which may be assigned by the supervisor from time to time.
  • Familiar with MAS licensing requirements
  • Manage compliance requirements for new hires including licensing, personal dealing, etc
  • Coordinate with relevant stakeholders to prepare internal and regulatory reporting
  • Coordinate with auditors and relevant stakeholders in relation to audits and inspections
  • Manage staff personal account dealings

Key Responsibilities

  • Build a constructive and effective working relationship with the business line, Middle Office and all the Bank’s stakeholders who may be impacted or covered by, or involved in the implementation of Compliance policies and procedures
  • Identify and resolve compliance issues (Whether in relation to the Bank’s products, businesses or otherwise) by recommending, and developing, implementing and maintaining compliance policies and procedures
  • Co-ordinate his/her compliance efforts with those of the Bank’s global directives and initiatives
  • Conduct on-going compliance induction and refresher training programs for the Bank’s employees
  • Respond to law enforcement or regulatory requests and undertake necessary regulatory reportings and filings
  • 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
  • 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

City

168 Robinson Road #23-03 Capital Tower 068912 Singapore

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

Min Bachelor Degree in relevant studies

Level of minimal experience

3-5 years

Experience

Minimum 3-5 years of relevant working experiences, preferably in Wealth Management or Private Banking

Required skills

  • Be a self-motivated, self-initiated creative problem-solver
  • 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 able to manage, motivate and train his/her direct reports so as to maximize their job performance;
  • 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 trust and promote trust in team members
  • Be able to influence employees and communicate effectively with regulators
  • Possesses good, sound judgment and mental toughness
  • Be an executive who brings energy, enthusiasm, stamina, and balance
    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 attention to detail.