AVP/VP, Compliance Controller

Morgan McKinley
Singapore, Singapore
Aug 08, 2022
Aug 21, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Job Summary
  • Singapore
  • Permanent
  • BBBH823111
  • Jul 22, 2022
  • Competitive
Job Description
Morgan McKinley is working in partnership with a regional Corporate & Investment Bank with strong footprints and relationship in the Asia region.

Role and responsibilities
  • Contribute to the annual Risk Control Self-Assessment based on the second level control results
  • Execute local and regional second line controls as determined in the annual Compliance Risk Assessment
  • Scope second level assessment reviews and define the testing plan
  • Analyze the process and the overall control framework in place to mitigate the compliance risk and identify any control weaknesses
  • Assess the design and execution of existing controls in accordance with Bank standards and methodology to identify any weaknesses
  • Track and verify the completion of corrective action plans agreed with stakeholders
  • Provide regular updates of Control assessments to key stakeholders in APAC or in other relevant regions as required
  • Collaborate with the Head Office Controls Team, Head Office and regional first level controls team and other regional Compliance Control functions
  • Provide KPI, KRI and key results/key information for management reporting
  • Maintain updated knowledge of the business line organization as well as its strategic developments and key projects
  • Contribute to the review and update of the Control Checklist list methodology documents
  • Identify possible use of data analytics and artificial intelligence in executing level 2 control missions
  • Identify processes that can be offshored/streamlined under the guidelines given by the Head of Compliance Control Monitoring
  • Maintain a detailed and updated working knowledge of key regulators within APAC
  • Maintain a detailed and updated working knowledge on the existing Compliance policies framework, Compliance incidents and any key regulatory development at group and regional level.
  • Support Head of Compliance SG on internal and regulatory projects, and assist to review and implement policies and procedures
Key requirements
  • At least 4 years of relevant experience (eg. Internal Audit, Monitoring and surveillance or other related areas)
  • Strong knowledge of regulations (SFC, HKMA, MAS rules and EU directives, etc)
  • Strong knowledge of Capital Markets & Investment Banking Operations/environment and associated products.
  • Data analytical skills with advanced Excel experience
Only shortlisted candidates will be responded to, therefore if you do not receive a response within 14 days please accept this as notification that you have not been shortlisted.

Morgan McKinley Pte Ltd, EA License No: 11C5502

Lee Boon Hou (Hagen), Registration No: R1870932


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