Regulatory Compliance Manager

Job Description

1. Provide regulatory advisory on MAS’ requirements.
2. Perform gap analysis on new/revised MAS’ requirements.
3. Maintain and review policies/procedures managed by Compliance team.
4. Review marketing materials from a regulatory perspective.
5. Review policies/procedures submitted by other teams.
6. Design and perform compliance review.
7. Assign and maintain training records.
8. Prepare periodic compliance reports to Head Office.
9. Disseminate MAS’ update to Management and relevant teams.
10. Participate or support regulatory or business projects involving Compliance team.
11. Ad hoc tasks as assigned by Team Head.

Requirement

1. Minimum 5 years of relevant regulatory compliance experience within a Banking environment
2. Comprehensive knowledge of business standards, policies and procedures in a Banking environment (Private Banking is a plus).
3. Well versed in Banking Act, Securities and Futures Act (SFA) and Financial Advisers Act (FAA) advisory
4. Excellent communication and presentation skills, with the ability to interact with our Head Office colleagues in Taiwan