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Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.
To assist T&M Compliance to (i) provide professional advice and services to Treasury & Markets (T&M) on Compliance issues (ii) safeguard the bank from compliance and regulatory risk with regards to the banks' transactions, practices and business initiatives.
To develop a good understanding and make clear communication of key laws, regulations and compliance requirements applicable to the businesses.
To prepare and provide T&M new-hire and regular compliance trainings.
To coordinate with Compliance Review team and relevant BUs to conduct risk-based compliance review and surveillance monitoring.
Escalate to Head of T&M Compliance on major compliance / regulatory issues / violations / complaints.
To play an active role in regulatory examinations, investigations and incident reporting.
To review customer feedback.
Promote a strong compliance culture within the bank, business units and the compliance team.
Provide assistance and co-operation in the course of regulatory examinations or investigations.
Work with Compliance Review Team and/or BUs to monitor the bank's compliance with the established policies and procedures.
Keep close communications and good relations with Group Compliance on management reports, group projects and new/changes in compliance policies and standards.
A degree in Law, Finance, Accountancy or related disciplines, or possession of legal or accountancy professional qualifications.
At least 3 years (for Senior Associate) or 6 years (for AVP) experience in
-compliance / legal or audit department of a bank or authorized / licensed financial institution; or -a local or overseas banking or relevant financial supervisory body; or\ -a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience. Ideally, exposure to dealing with regulatory matters and liaising with regulators .
Knowledge of banking and financial sector laws and regulations, compliance best practices and understanding of financial products and operating business, in particular those relating to Treasury and Markets.
Ability to understand the business, analyze issues and formulate appropriate recommendations.
Ability to develop a rapport with Treasury and Markets but maintaining independence.
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We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
We regret only shortlisted candidates will be notified.