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Execution of various core compliance processes including: internal and external reporting, legal entity and employee registrations, gifts & entertainment, employee personal trading, conflicts, privacy and regulatory/policy breaches.
Provision of compliance advice to the business including: responding to ad hoc queries, policy updates, training, assessing regulatory change and updating regulatory change trackers.
Provide assistance or execution of a risk based compliance testing/monitoring program including: a formal risk assessment, business desk reviews, thematic reviews and testing, surveillance and logging, escalation and ensuring resolution of relevant items.
Assist in the co-ordination between compliance teams in regional offices within Europe & Asia Pacific, and also with teams in Canada and the United States, where applicable
Assist in facilitating coordination with other internal control functions as required, e.g. Internal Audit, Finance and Operations.
Duties and Accountabilities
Core Compliance (Primary responsibility) – 70%
Execution of local core processes including, internal and external reporting, legal entity and employee registrations, gifts & entertainment and employee personal trading.
Maintenance of relevant logs and registers to include the above as well as conflicts, and privacy and regulatory/policy breaches.
Maintenance of Compliance policies, manuals, and procedures
Assist with regulatory change assessment and updating regulatory change trackers,
Assist with preparation and reporting of ad hoc and regular internal and external reports
Assist with new joiner and annual compliance training.
Assist with internal and external Audits, including gathering of evidence, responding to audit queries, and tracking of audit remediation.
Advisory (Secondary responsibility) – 20%
Respond to ad hoc questions from internal and external queries on a timely basis
Facilitating global and regional projects and ensuring the TD Singapore provides Compliance input according to prescribed deadlines.
Escalation of the regulatory, reputational, conduct, risk associated with strategies and business lines.
Input to the periodic risk assessment, testing and surveillance processes.
Testing (Secondary responsibility) – 10%
Assist on regional compliance input to the periodic risk assessment processes.
Assist in the development of local testing program including input into the global program.
Assist in the execution of the local and global testing program to include, local, global, desk and thematic reviews.
Assist in the investigation of trade and other surveillance exceptions.
Review of findings log to ensure findings are dealt with according to the agreed timeline.
Individual responsibilities and time spent on advisory, monitoring and core compliance duties may change over time depending on business needs.
University degree in Business Administration/Finance/Accountancy or related qualification Minimum 5 yrs of relevant experience in Compliance with Banking/Financial Institutions Knowledge of local regulations and legislation on AML and sanctions Have good knowledge of Policies, procedures and standards relating to Compliance Good analytical skills and able to work independently Able to work in a matrix organization and partner effectively with various stakeholders