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A key person in Risk Management, Compliance and Legal who drives implements and manages the end-to-end strategies and initiatives in addition to the day-to-day activities. The person must be knowledgeable and experienced in risk management, regulatory compliances and prevention of financial and money laundering crimes. The person must be able to anticipate emerging key risks and regulatory changes and prepares the Bank in managing these risks and complying with these regulatory changes.
Functional (job responsibilities)
Manage the Risk Management, Compliance (Financial Crime and Regulatory Compliance) and Legal functions in Singapore Branch.
Development of new monitoring and controls mechanism, focusing on best practices for employees.
Ongoing assessment of new program initiatives that relate to overall AML monitoring & reporting process.
Ensure compliance to all regulatory requirements (MAS & BNM).
Act as key point of contact for Group Compliance and Policy frameworks across the business.
Devise risk policies and procedures compliant with regulatory guidelines and Group guidelines.
Provide risk (credit portfolio, market, liquidity, technology and operational risk) oversight in the overall coordination of risk policies and procedures including alliance with the Group.
Review and recommend key financial risk measures at the management level and board level to ensure they are realigned with the Bank's strategies and regulatory requirements.
Monitor the established financial risk controls and ensure the positions are within the set limits.
Monitor other units/departments implementation of ratification actions as needed.
Monitor and evaluate developments of the external environment potentially causing new and emerging risks and develop risk programs to handle them.
Financial Crime Compliance (FCC)
Establish the Financial Crime Compliance Policy framework in accordance with risk appetite.
Ensure that the Anti-Money Laundering (AML) Policy, Standard Operating Procedures (SOP) and controls are robust and implemented with timely updates.
Review unusual transactions and/or activities with an analytical mind and be firm (with strong reasoning) and assertive when being challenged.
Ensure all documentation such as KYCs for new accounts are submitted and reviewed on time by the FCC manager.
Regulatory Compliance (RC)
Ensure that the Anti-Money Laundering (AML) Policy, Standard Operating Procedures (SOP) and controls are robust and implemented; and updated.
Ensure compliance to the MAS RNS (Representative Notification System) for Covered Representatives of the Bank.
Ensure that Covered Representatives adhere to the requirements in the SFA (Securities & Futures Act) & FAA (Financial Advisers Act). Monitor regulatory developments and review rules, where applicable, and ensure timely update of the Bank's policies and procedures.
Manage and coach the team members to upskill their knowledge of the various risk and compliance functions that supports the Bank business and operations.
Responsible for development and coordination of delivery of Group-wide financial crime training and development programs.
At least 15 years' experience in risk management and compliance.
Understanding of risk management, financial crime regulations and knowledge of AML/CTF and Sanctions environment.
Strong analytical skills
International Compliance Certification (e.g. Diploma in Governance Risk & Compliance; Certificate in Financial Crime Prevention) is an advantage.