Compliance Officer - Professional Ethics - Singapore

LMA Recruitment
13 Aug 2017
17 Aug 2017
Contract Type

Direct Responsibilities
• Adapt and deploy professional ethics country policies
• Assist in drafting of professional ethics country policies
• Adapt group policies to country constraints and deploy them at country level
• Conduct training on professional ethics
• Advise on professional ethics topics on country level
• Answer questions about professional ethics
• Approve staff's requests relating to personal investments, gifts & invitations, conflicts of interest and outside activities
• Implement controls and key reporting indicators
• Conduct second level control testing relating to personal investments, outside activities and gifts & invitations
• Prepare control testing and other related key indicator reports
• Run the annual compliance declaration process
• Escalate alerts, whistleblowing reports and investigations
• Detect transactions / activities with potential breaches of company policies
• Escalate incidents / alerts to Country and Compliance Management, if considered necessary
• Handle whistleblowing reports and related investigations
• Participate in the development of professional ethics tools in their parameter
• e.g. automated personal investment declaration tool, gifts & invitations approval tool
• Issue Compliance reminders on Professional Ethics topics
• Prepare periodic reports for submission to Head Office and Regional Professional Ethics.
• Contributing Responsibilities
• Contribute to the promotion of staff's professional ethics and culture of probity
• Contribute to the permanent control framework
• Contribute to global and regional projects and initiatives on professional ethics, as and when required

Technical and Behavioural Competencies required:
• Ability to work independently and be assertive in the communication of professional ethics compliance policies
• Attention for details and possess an investigative and questioning nature
• Good verbal and written communication skills in English
• Good computer skills in MS Word, Excel and PowerPoint
• Experience and Qualifications required
• University graduate in Banking and Finance, with relevant professional qualifications
• 5 years' experience in a role which has given them exposure to internal control framework
• Experience in compliance is preferred

EA Reg no: R1216327

EA Licence No: 11C4684

Company Reg. No: 201131609D