• Competitive
  • Singapore
  • Permanent, Full time
  • OCBC Bank
  • 2019-03-20

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.
*LI-MLIU

Qualifications
Job Requirements
  • 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.


*LI-MLIU