Product Compliance Officer, AVP / VP
About the Product Compliance Officer, AVP / VP Role:
Reporting directly to the Head of Private Banking Compliance, you will join a team of three to provide compliance and regulatory advice to the investment solutions, product sales and execution teams, supporting the private banking business in Singapore with regards to product launches and ongoing business.
- Review and approve marketing material and other sales documents for all products offered to clients of the private banking business in Singapore
- Provide timely and comprehensive advice to the front office in the design and implementation of controls in the product sales and marketing process, in compliance with the relevant regulatory requirements in Singapore
- Participate in new business initiatives and the product due diligence process by providing timely and comprehensive advice from a compliance and regulatory perspective
- Monitor the issuance of new or revised regulations in Singapore and collaborate closely with the business to ensure compliance with the regulations, including advising on the implementation of the relevant processes and controls to mitigate regulatory and compliance frameworks
- Monitor the issuance of consultation papers by the regulator and coordinating feedback from the relevant stakeholders for submission as necessary
- Participate in project work as a compliance liaison to support the business in the implementation of new innovations
To succeed in this role, you will need to have a minimum of 8 to 10 years' of compliance experience in the banking industry or related experience with a regulatory body.
- In-depth knowledge of the Banking Act, Securities and Futures Act, and Financial Advisors Act as well as corresponding regulatory notices and guidelines in Singapore
- Effective written and verbal communication skills
- The ability to collaborate effectively with stakeholders in the bank, including other risk and control functions, front office and other members of the compliance team regionally and globally
The global wealth manager is a leading player in the private banking business and is globally recognised as a top-tier bulge bracket bank. With private banking business is still growing in Singapore and in the APAC region, the successful Product Compliance Officer, AVP / VP will have exciting career progression and internal mobility opportunities globally.
If you are looking for an opportunity to work with some of the best people in the industry in a dynamic work environment, this is the role for you.
Apply now to discuss this exciting opportunity in further detail.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1545553 Wei Yolk Loke