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The incumbent is expected to lead, undertake, assist & support the Department in its efforts to shift from mechanistic compliance towards a culture of individual accountability and good conduct. Where individual accountability & good conduct is demonstrated by characteristics including but not limited to:
fit and proper conduct : a high competency level and appropriate standard of behavior of doing what is right and ethical .
individual accountability for the business under his / her purview
individual accountability for the actions of subordinate staff where oversight of employee in supervisory capacity entails;
conduct that supports a commitment to embed and cascade down the right mindset for risk ownership, ethical behavior, professionalism, responsible risk taking and the promulgation of good practices that promote sound industry norms.
To work proactively with the Head of Department and staff of L&C Department as a team in the management of the regulatory compliance risks of the Singapore branch.
To advise and be accountable for the provision of independent sound and timely compliance advice to the Branch entities on Singapore banking related laws and regulations as well as industry best practices (as they change from time to time) and support Branch senior management in the management of the Branch's Singapore regulatory compliance risks.
To oversee and have responsibility for the Branch 's regulatory risk management framework of controls managed by L&C Department such as:
anti-money laundering anti-terrorism financing policies and procedures;
personal data protection risk management policies policies and procedures;
FATCA (Foreign Accounts Tax Compliance Act) related policies and procedures; and
securities and insider trading policies and procedures.
To independently conduct periodic internal compliance reviews or audits for assurance that the Branch operates in compliance with Singapore laws and regulations; address compliance shortcomings and violations (where any); escalate anomalies to Head of Department and Branch senior management; and prepare management reports as necessary.
To perform and to oversee the due and effective performance of Customer Due Diligence ("CDD") performed by the front offices as well as the CDD of RMA counterparties of the Branch to assure due compliance with Singapore laws and regulations as well as industry best practices as they evolve from time to time.
To be accountable for the proper maintenance and updates of the compliance policy and procedure manuals of the Department in keeping with developments in applicable law
To review the internal policy and procedure manual of the various Branch entities for compliance with Singapore law, and provide compliance-related advice to the Branch entities which own these policies and procedures (which include advice on risks arising) to facilitate their proper consideration and action.
To promote on-going staff awareness on compliance issues such as conducting or organizing compliance training to employees across the various departments.
To support the Head of Department in the administration and effective running of L&C Department and ensure its smooth day to day operations.
Internal Number: 4493474
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