Central Compliance Specialist (6 months)
Our client is an established global bank seeking for an experienced compliance candidate who will assist the Head of Conflicts & Conduct Monitoring. The incumbent will ensure the bank's regulatory agenda, policies, procedures, and training are aligned to a high global standard with regard to all aspects of Conflicts of Interest (COI) risk management.This will be 6-months contract for a start and potential extension due to the projects going on in the bank.
* Co-ordinate COI activities including COI periodic reviews, alignment to Operational Risk Framework, and assurance testing of controls;
* Facilitate the implementation and review of governing arrangements - for primary governing bodies in relation to the identification, recording and management of COIs;
* Support the maintenance of the MiFID Client Disclosure Statement;
* Co-ordinate and support the implementation of the COI tactical and strategic solutions;
* Central maintenance of a register / inventory of compliance and regulatory risks arising from COIs;
* Central analysis and extraction of data in a register / inventory of compliance and regulatory risks arising from COIs for various reporting purposes;
* Central coordination and maintenance of policy and procedural materials in relation to COIs, through to their embedding in BAU business and functions;
* Central coordination of the preparation and delivery of training and educational materials in relation to COI risk management;
* Support assurance testing of controls and audit related activities.
Qualifications & Skills
* Bachelor's degree or Equivalent
* Must have at least 5 years of relevant banking experience
* Good knowledge of both local and global rules and regulations, emerging themes, and areas of increasing regulatory focus and attention, including but not limited to the regulatory conflicts and conduct agenda.
* Strong appreciation of the importance of proper standards of COI and conduct within the banking business, and an understanding of how to identify and frame COI and conduct risk related issues across the businesses and functions.
* Ability to develop and enhance relationships across multiple stakeholders in various business, functional and geographic groups etc.
* Ability to consider matters from an end-to-end perspective, including looking at COI and conduct-related matters from the initial policy statements, more detailed procedural aspects, training requirements, assurance testing, and monitoring.
* Proven executor of initiatives including leading on improving standards, culture, and behaviour.
* Ability to work independently within the team, be self-motivated and self-reliant with a genuine desire to get things done to a satisfactory standard and to do the right thing, as well as the ability to provide practical and effective advice. Being able to accept challenge and change, listen to the other points of view, and adapt approach accordingly.
* Diplomacy, sensitivity, and the ability to properly and professionally stand your ground when needed and persuade others of the merits of a particular approach.
* Excellent written skills, evidenced through the execution of a range of document types, e.g., policies, procedures, committee papers, etc.
Should you be keen, please send your most updated CV to me or call +65 6854 5644 for a confidential discussion. (R1219081)
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