COMPLIANCE SENIOR MANAGER I
At a glance
Heads up
- Minimum 12 years experience required
Why this role might suit you
The role offers a senior compliance leader the chance to shape regulatory risk management for a major global bank in Singapore, working closely with regulators and business units on complex financial products.
Skills
About the role
Excited to grow your career?
BBVA is a global company with more than 160 years of history that operates in more than 25 countries where we serve more than 80 million customers. We are more than 121,000 professionals working in multidisciplinary teams with profiles as diverse as financiers, legal experts, data scientists, developers, engineers and designers.
About the job:
Job Purpose & Objectives
Assist and support business management in identifying, assessing, measuring and mitigating compliance risks.
Provide reasonable assurance that the Bank and its employees comply with applicable laws, regulations, internal rules and ethical standards within the context of corporate governance.
Handle regulatory issues related to business partners and ensure appropriate management escalation.
Manage relationships and develop mutual understanding with the regulators and monitoring authorities with respect to compliance matters.
Work closely with business partners to broaden and deepen their knowledge and behaviour on business and industry specific regulatory requirements.
Key Responsibilities
Ensure the Bank’s full compliance with all applicable local and international regulatory requirements, with a specific focus on Singapore's banking and capital markets laws and market conduct rules.
Provide advice and support to business units and management with regard to potential regulatory impacts of relevant laws, rules, regulations and guidelines.
Participate in reviewing new business/product initiatives and provide compliance clearance for new product launches, specifically for OTC derivatives and notes, fixed income and equities, to ensure compliance with applicable regulatory requirements and internal policies.
Monitor compliance with market conduct requirements, including insider trading, market manipulation, conflict of interest and wall-crossing procedures.
Oversee the end-to-end AML framework including KYC documentation, transaction monitoring and screening to ensure compliance with relevant anti-money laundering and sanction regulations.
Prepare and update policies and procedures in line with Group Policy and with regard to local laws, rules, regulations and guidelines.
Deliver targeted compliance training programs to relevant staff on changes and development of laws, rules, regulations and guidelines.
Ensure business activities are properly licensed and all relevant staff are properly registered with regulators as appropriate.
Monitor key compliance issues and ensure prompt escalation to senior management or designated committee.
Act as the primary liaison with regulators for any regulatory enquiries and compliance related issues.
Manage all inspections, thematic reviews and regulatory reviews conducted by regulators and ensure accuracy and timeliness in all regulatory reporting, filings and self-assessments.
Manage a robust compliance testing and monitoring program to ensure internal controls are functioning as intended.
Participate in any other ad hoc projects as required.
Job Specifications
Qualification & Experience
Degree holder in Finance, Accounting or Laws.
Minimum12 years of compliance experience in a bank, securities company or financial regulator, with strong familiarity with the Singapore banking and capital markets environment.
Knowledge & Skills
In-depth knowledge of regulatory and compliance requirements in relation to banking and capital markets business.
Well-versed with banking services and financial products.
Strong analytical and problem-solving skills with the ability to apply regulatory knowledge to practical business situations.
Proficient in compliance systems and tools used for trade surveillance, personal account dealing, and regulatory reporting
PC literacy (Microsoft Office including word, excel and powerpoint)
Language
Proficient in written and spoken English
Other Skills (e.g. Interpersonal, Communication etc)
Strong interpersonal and communication skills.
Customer-oriented.
High integrity and ethical standards, with sound judgment in risk-based decision-making.
Well-organized, self-driven, and capable of managing multiple priorities under pressure.
Ability to work in a matrix reporting structure, multi-functional and cross-cultural environment.
A team-oriented mindset with leadership potential.
Skills:
Interpersonal Communication
Questions about this role
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