AVP, OCBC Securities - OSPL Compliance Assurance AVP, OCBC Securities - OSPL Compliance Assurance …

OCBC Bank
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 03 Jun 20
Competitive
OCBC Bank
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 03 Jun 20
Competitive
OCBC Bank
AVP, OCBC Securities - OSPL Compliance Assurance
Roles and Responsibilities:
  • Work with major stakeholders in OSPL to ensure that new or amendments to Rules and Regulations highlighted by Group Regulatory Compliance Unit are reviewed by respective units for timely action
  • Ensure that stakeholders identify actions required including related procedure and processes and document actions for follow through
  • Track and monitor identified actions and timelines including ensuring SOP are updated and that staff are given training on new procedure / processes.
  • Track closures of regulatory audit issues by stakeholders
  • Escalate potential delay in action by stakeholders to senior management
  • Work with Group Regulatory Compliance Unit (RCU) on initiatives to enhance AML/CFT risk control and regulatory awareness,
  • Assist in identifying regulatory training needs within the company.
  • Remind stakeholders to perform periodic review of SOPs such that SOPs are kept relevant and updated.
  • Provide secretarial support to Compliance related committee including AML/CFT


    Reporting to : VP, Compliance Assurance


Qualifications
Requirements:
  • Degree in Accountancy, Finance, Business or other relevant qualifications
  • 4-7 years of relevant experience in Compliance or Control functions.
  • Demonstrated strong control mindset, meticulous and resourceful
  • Driven, with good interpersonal, communication and analytical skills, and the ability to work independently and under tight deadlines.

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