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    AVP, Compliance Specialist - Singapur, Singapore - SMBC Group

    SMBC Group
    SMBC Group Singapur, Singapore

    1 week ago

    Default job background
    Description

    Responsibilities

    Audit

  • Facilitate and support communications with internal/external audit in collaboration with respective departments
  • Provide guidance to staff on managing requests from auditors
  • Review adequacy of audit submissions by departments
  • Follow up audit findings and lessons learnt from External and Internal Audit

    • Corporate Policy and Procedure

  • Provide an independent oversight and observation
  • Facilitate regular reviews of policy and procedure for alignment with regulatory requirements and implement best practices.
  • Facilitate adoption of policy and procedure by departments

    • Training, Assessment and Monitoring

  • Conduct and provide training on external regulations and relevant policies
  • Ensure that all required trainings and due diligence checks are completed within schedule and maintain training records
  • Evaluate and examine whether the activities performed by Business Units are effective, appropriate and compliant with key regulations
  • Monitor expiry of any certificate, license and registration and ensure timely renewal
  • Participate and provide support in compliance investigations
  • Initiate and support Annual System Risk Assessments with respective System Managers and follow up on any identified risks for mitigation and closure.
  • Initiate regular BCP tests and follow up actions

    • Handling Regulatory Related Matters

  • Identify applicable laws and regulatory requirements
  • Keep abreast of regulatory changes/updates and perform gap analysis for alignment of entity policy and procedures as needed
  • Review and assess breaches flagged to compliance

    • Others

  • Support Team Lead in providing guidance stakeholders on compliance matters
  • Perform other duties as and when assigned

    • Job Requirements

  • Bachelor's Degree in Law, Business Administration, Finance, Accounting, Information Systems or related field.
  • Min. 3 years of relevant work experience in compliance, internal control, risk management or internal audit.
  • Preferably with professional certifications such as CISA, CISM, CISSP, CIPP, CBCI, CRM, ICA, CA).
  • Possess a strong understanding of Singapore laws, regulations (including MAS guidelines and notices) and relevant industry standards such as information processing and financial industries
  • Preferably with working experience in financial services, IT industry in particular related to system development and integration
  • Preferably with IT audit experience.
  • Excellent technical writing and documentation skills
  • Advanced skills in using Microsoft Office products
  • Good appreciation for risk related subjects
  • Strong communication, interpersonal and presentation skills
  • Possess excellent analytical skills, attention to detail to ensure quality of deliverables
  • Experience in operating and maintaining Crisis Notification System
  • Effective communication and management of stakeholders
  • A self-starter team player who can work proactively with minimum supervision
  • Ability to multi-task, work under pressure and meet tight deadlines
  • High level of integrity and takes accountability over work
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