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AVP, DBS Vickers Compliance, Group Compliance

Singapore, Singapore | Nationally Chartered Bank

  • Industry:
    Banking / Investment Banking
  • Position Type:
  • Functions:
    Legal / Compliance
  • Experience:
    5-7 years
Job Description:
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Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.


Responsibilities


Provide guidance to junior compliance officers in DBSV Compliance


Review new products/services, new business initiatives, and licensing requirements


Conduct testing of key regulatory obligations


Provide responsive, sound, coherent and consistent compliance advice, interpretation and recommendations on regulations, policies, products and business initiatives; clarify and resolve uncertainties in rules and regulations affecting business transactions and practices


Establish, review and update internal rules, policies and guidelines to meet best practice regulatory and industry standards


Liaise and resolve with regulators any regulatory concerns, and co-ordinate regulatory inspections


Co-ordinate with central compliance team on developing and implementing training standards, courses and coverage


Assist and support other members of Compliance staff where required


Requirements


Degree or professional qualification in accounting, business, law or related field


Experience of over 5 years in compliance/audit and middle office work in financial services industry


Knowledge of Securities and Futures Act, Financial Advisors Act, SGX requirements, banking and financial services laws and regulations, securities and futures practices, compliance best practices and understanding of financial products and systems


Communication skills with ability to clearly and diplomatically articulate issues, solutions and rationales


High degree of judgement and good problem solving skills; results-oriented to ensure sound implementation of control and compliance processes/procedures


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