- Permanent, Full time
- OCBC Bank
Group Regulatory Compliance (Control Room and Chat Surveillance)
Group Regulatory Compliance (Control Room and Chat Surveillance)Job Description
- Provide regulatory compliance advice to businesses and support functions assigned.
- Keep abreast of new and changes to regulations.
- Drive the implementation of new regulatory requirements.
- Develop, implement and maintain policies and procedures.
- Perform control room controls, including but not limited to, wall crossing, research embargo, pre-trade clearance and conflicts of interest review.
- Perform surveillance and monitoring of designated staffs' communications.
- Review regulatory submissions and reports.
- Provide regulatory compliance training.
- Manage projects assigned.
- Liaise with regulators and external and internal auditors.
- Possess a university degree.
- Minimum 3-8 years of relevant experience in the regulatory compliance, business or operational compliance or internal audit function of a bank or external audit focusing on audit of financial institutions.
- Experience in treasury, investment banking or control room function preferred but not required.
- Familiar with relevant laws, regulations, notices and guidelines in respect of treasury and/ or investment banking activities.
- Familiar with financial products and services.
- Proven leadership, organisation and facilitation skills.
- Good interpersonal and communication skills.
- Proactive, independent and resourceful.
- Embodies team work.
- Ability to adapt to changes.
- Ability to work under time constraint and pressure.