Bank Regulatory & Compliance Senior Officer (Contract)

Main Tasks and Duties • Conducts the implementation of the branch compliance plan • Respond to regulatory authorities’ routine queries and coordinates completion of survey and other request for information • Develop and perform periodic compliance reviews • Investigates compliance breaches and customer complaints. • Draft the annual compliance plan for HOD and management approval. • Conducts compliance training and provides advisory on Banking Act,  SFA and FAA and other compliance matters • Implement and update compliance policies and procedures based on Head Office, and local regulatory requirements. • Prepares / reviews periodic reporting to local regulatory authorities, Head office and Management. • Tracks/monitor changes and updates on local regulations, conducts briefing and discussions on implementation with relevant departments and post-implementation review. • Conducts annual regulatory risk assessment • Any other tasks or duties assigned by Head of Department or Company from time to time Job Requirements • Recognized bachelor degree or above, preferably in Business or related discipline • At least 5 years of relevant experience in a regulatory compliance role. • Experience in SFA/FAA advisory • Performed compliance review / compliance testing such as Balanced Scorecard Review, Private Banking Sales Advisory Review, Continuing Professional Development review, Fit and Proper Review etc. or due diligence for new product onboarding / product variation of existing products • Working Knowledge of Banking Act would be an advantageous • Strong knowledge in local rules and regulations • Good interpersonal skills to handle stakeholders across multiple departments