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
- 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.