About the job

You will support the implementation of the Bank’s Compliance program, controls, checks and processes to ensure that the Bank is compliant with the relevant guidelines and regulations.

You will assist in all matters concerning financial crime in coordination with the AML function to ensure undisrupted support to the business and the bank, as required. You will execute tasks according to procedure to ensure regulatory compliance across the organisation and escalate any issue to the relevant parties, where needed. You will assist with keeping compliance processes updated and conduct research and prepare the necessary materials for standard compliance reporting.

You will perform ongoing compliance monitoring and reviews to facilitate the Bank’s compliance with the relevant regulatory requirements. You will assist in investigations into compliance breaches, financial crime and/or sanction-related incidents. You will support compliance knowledge management by conducting training and implementing new or changing regulations.

You will support in the implementation of risk and compliance controls in accordance with the compliance policies and frameworks. You will assist in the implementation and maintenance of the Bank’s AML/CFT Compliance program and will conduct routine monitoring and surveillance activities in accordance with Compliance Monitoring & Testing Plan e.g. Personal Account Dealing, Voice Communication Surveillance, Bloomberg Chat and Communication review etc.

You will execute regulatory compliance management procedure and escalate deviations. You will support internal compliance testing activities, generate suspicious activity reports for trade, transactions and other activities, as well as track the implementation of compliance policies, processes and procedures and evaluate their effectiveness.

You will assist in the updating of compliance-related policies, procedure, processes, database and registers. You will assist in performing the Enterprise Wide Risk Assessment for the Branch and will monitor the communication channels for compliance query and escalate them to the relevant parties. You will direct stakeholders to compliance resources and references, facilitate and respond to requests from auditors, and facilitate the annual CRS and FATCA reporting on an annual basis to the local tax authorities.

You will report compliance issues from a technology system standpoint and gather evidence and documentation for compliance investigations into compliance breaches, financial crime and/or sanction-related incidents, and assist in the drafting of STR, where required. You will review, assess and approve new KYC requests and periodic requests, review and ensure the timely clearance of Safewatch and World Check One alerts escalated to Compliance. You will also assist in the review and clearance of KYT requests (per-transaction monitoring) raised to Compliance and prepare MI/ statistics for Compliance Committee meetings and quarterly Head Office reporting.

You will assist in performing CINTMT (PIXIS) controls/ checks on a periodic basis and RCSA controls on a yearly basis. You will assist in the licensing and cessation of regulated representatives for Front Office and facilitate and review the fitness and proprietary of the licensed representatives via the fit and proper attestation, external business interest declaration and credit bureau reports.

You will conduct research on industry best practices and developments to update knowledge management systems and gather information on the latest regulations and requirements to support the preparation of compliance reports. You will compile compliance and financial crime compliance activity status reports, document compliance assessments, monitoring and surveillance findings, and coordinate responses to compliance queries and/or regulatory query.

You will assist in the preparation of compliance-related training materials, facilitate the rollout of training to staff and track their completion, and assist in the delivery of face-to-compliance training to new hires. You will disseminate internal compliance-related communication, memos and procedures to the relevant departments, and review and disseminate MAS Circulars and Guidelines to the relevant departments.

  • Bachelor’s Degree in Business, Finance, Accountancy, Economics, Law or related discipline
  • 5 – 10 years of work experience in the financial services industry, with at least 5 years in Compliance and/or AML Compliance role
  • Certification awarded by the International Compliance Association or Certified Anti-Money Laundering Specialist (CAMS) would be advantageous
  • Regulatory compliance experience with a corporate/ wholesale bank is preferred
  • Experience in performing monitoring/ surveillance work for treasury market products and services would be highly valuable
  • Possess good knowledge of AML/CFT regime in the region and hands-on experience in AML controls/ advisory would be advantageous
  • Possess strong verbal and written communication and presentation skills
  • Able to multi-task and execute tasks with a sense of urgency
  • Possess good market and commercial acumen


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