Regulatory and Compliance Senior Officer

Our client, a globally recognized bank (QFB), is seeking a skilled Regulatory and Compliance Senior Officer (QFB) to join their team.

Main Tasks and Duties:

• Conduct the implementation of the branch compliance plan.
• Respond to regulatory authorities’ routine queries and coordinate completion of surveys and other requests for information.
• Develop and perform periodic compliance reviews.
• Investigate compliance breaches and customer complaints.
• Draft the annual compliance plan for HOD and management approval.
• Conduct compliance training and provide advisory on Banking Act, SFA, FAA, and other compliance matters.
• Implement and update compliance policies and procedures based on Head Office and local regulatory requirements.
• Prepare/review periodic reporting to local regulatory authorities, Head Office, and Management.
• Track/monitor changes and updates on local regulations, conduct briefings and discussions on implementation with relevant departments, and perform post-implementation reviews.
• Conduct annual regulatory risk assessments.
• Handle any other tasks or duties assigned by the Head of Department or the Company.

Job Requirements:

1. Recognized bachelor degree or above, preferably in Business or a related discipline.
2. At least 5 years of relevant experience in a regulatory compliance role.
3. Experience in SFA/FAA advisory.
4. Performed compliance review/compliance testing such as Balanced Scorecard Review, Private Banking Sales Advisory Review, Continuing Professional Development review, Fit and Proper Review, etc., or due diligence for new product onboarding/product variation of existing products.
5. Working knowledge of the Banking Act would be advantageous.
6. Strong knowledge of local rules and regulations.
7. Good interpersonal skills to handle stakeholders across multiple departments.

Greenlane is a recruiting firm based in Singapore, specializing in banking, trading, tech, and other industries. Feel free to reach out to us via WhatsApp at +65 9188 0521.

EA Licence No.: 20C0261 | Registration No.: R209484