- Singapour, Singapore
- CDI, Plein-temps
- LMA Recruitment
- 16 nov. 17
Director, Compliance, Retail Banking Comp. Initiatives
Provide support and advice to Retail Banking (“RB”) on compliance issues and risks to ensure that Business can operate to the highest standards of conduct.
Key Roles and Responsibilities
• Support the embedding of the Group Conduct Policy and Framework in Retail Banking Group, Region and Countries by undertaking compliance led projects or by supporting business initiatives in this area
• Provide support in the implementation and embedding of various UK and EU legislation applicable to Retail Banking such as MIFID2
• Independently own the Compliance engagement for various Bank led projects e.g. Records Management
• Provide compliance support to RB stakeholders for a variety of initiatives by reviewing and advising the business on issues related to conduct, conflicts, secrecy, data, outsourcing, regulatory compliance etc
• Highlight conduct reforms and compliance risks for the Compliance dashboards for presentation to business leaders, including papers to the PGCs, BBVC, CECC, CRRC, and various compliance committees.
• Assist in engagements with Global Process Owners to map processes, related Policies and Procedures to Conduct related risks
• Support embedding of operational risk frameworks for Retail Banking business, particularly where Compliance is the Risk Owner
• Compliance experience is preferred, but not mandatory
• Experience in audit or operational risk management will be an advantage
• Minimum 10 years in the financial services or related professional services industries, preferably in Compliance or with a financial services regulator.
• Professional qualifications in law, accounting and/or finance (preferable but not necessary).
• Excellent knowledge of financial products and laws and regulations.
• Highest level of integrity and self-motivated.
• Strong analytical mindset, risk-based thinking, and the ability to analyze regulations to ascertain both compliance and business implications.
• Be able to work under pressure and deadlines.
• Ability to effectively communicate with a diverse stakeholders
• Excellent listening and problem solving skills.
• Strong Microsoft Excel, and PowerPoint skills is a pre-requisite
EA Reg no: R1216327
EA Licence No: 11C4684
Company Reg. No: 201131609D