Compliance Manager (Team Lead)

  • SGD130000 - SGD190000 per annum + Company benefits & variable bonus
  • Singapore
  • Permanent, Full time
  • Nicoll Curtin - Singapore , EA Licence No: 11C5620
  • 18 Jan 18 2018-01-18

Compliance Manager (Team Lead) required at a leading Global Private Banking Group in Singapore. You will be part of the Compliance team and report directly to the Head of Compliance in a Global organisation with a very strong APAC presence. The focus of the role is primarily around client onboarding and requiring an incumbent with a strong and relevant background in private banking.

Compliance Manager (Team Lead) required at a leading Global Private Banking Group in Singapore. You will be part of the Compliance team and report directly to the Head of Compliance in a Global organisation with a very strong APAC presence. The focus of the role is primarily around client onboarding and requiring an incumbent with a strong and relevant background in private banking.

Main roles & responsibilities

In this role you will be;

  • Responsible for all Compliance issues relating to client, BI and IAM onboarding including but not limited to review of Client Information Profile (CIP), Business Introducer (BI) and Independent Asset Manager (IAM) profiles.
  • Tracking and maintaining records of the status of each profile.
  • Assist in regulatory reporting and Head Office reporting, where required.
  • Responsible for Compliance periodic review of clients (HRC, Standard Risk, PEP).
  • Responsible for monitoring, review for staff compliance with Code of Conduct, conflict of interest issues.
  • Responsible for NCM, FATCA issues.
  • Assist in AML transaction monitoring and / or investigation works undertaken by Compliance.
  • Provide leadership and guidance to the team and to assist the Head of Compliance or Deputy Head of Compliance where required

Requirements

You will have very good analytical and problem-solving skills, be a team player and someone who is able to work independently under tight deadline pressures.

Looking for:

  • At least a relevent Diploma or Higher Education Certification (Degree or Masters preferred)
  • Have extensive experience in the private banking compliance environment
  • Experience in using Worldcheck, Lexis Nexis, Google is preferable and will help in ease of onboarding
  • Good experience in reviewing client due diligence information such as source of wealth, the prospect's economic background, perform searches on the prospect to see if there is any negative news prior to account opening
  • The ability to read and have a good understanding of Chinese Mandarin will be advantageous for the incumbent in this role