Part- Time Compliance Manager recruitment

 To cover compliance for private bank, provide support for general branch matter and support regional office on an ad-hoc basis.

• Monitor compliance plan for Private Bank and Branch to ensure compliance with local laws and regulation and Bank’s internal policies
• Update on regulatory updates
• Advise Private Bank ( on compliance conformance for any existing and new business and any compliance issues )
• Clear all audit issues for Private Bank and branch
• Establish policies and procedure for Private Bank branch
• Responding to CAD requests on accounts
• New Product Committee for Investment Products
• Ensuring Private Bank Branch complies with local laws and regulations and Bank’s internal policies
• Incident Breach Reporting Manager .

• AML and STRO Officer
- educate and train staff and management
- update management and business heads on regulatory changes for AML
- set policies and procedures to ensure compliance with regulations
- submit suspicious transaction reports as Suspicious Transaction Reporting Officer for the bank to Commercial Affairs Department and CAD
- Spot Check – Sample Review of Each RM’s account opening on monthly basis

• Spot Check – Annual Sample Review of Dormant Accounts

• Financial Advisers Act
- Maintain FA Reps Register
- Quarterly Returns on any misconduct to MAS
- Monitor Reps qualifications
- Impact Analysis
- Assist to set policies and procedures
- Train, update, brief Reps
- Ensure FAA Forms for notification or declaration are submitted to MAS as and when required.
• Securities and Futures Act
- Monitor Reps qualification
- Ensure SFA Forms for notification or declaration are submitted to MAS, Form 28 on an annual basis
- Impact Analysis
- Assist to set policies and procedures
- Train, update, brief Reps

• Complaint Officer
- set policy and procedure
- assist to investigate and handle complaints
- maintain Complaint Register
- Quarterly reporting to Country Head and Unit Heads
• Banking Secrecy
- set policy and procedures
- review, sign off on documents involving release of customer information
- review and sign off outsourcing documents with 3rd parties
• Conflict of Interests
- Obtain and Review Quarterly Investment Declaration
- Spot Check – annual review of all staff accounts
- Conflict of Interests - Review Gift Register
• Compliance Induction training for New Joiners
-Training / Presentations / Briefings
- AML and ATF
- FAA regulations, notices, policies, procedures
- Bank Secrecy Policy
- Complaints Policy
 

As such, my client is looking for a candidate who has circa 3 years private/ consumer banking experience from a retail bank who is happy to work for 3 days a week. 

Ability to work independently as well as team player inter-departments and creative.