Compliance Officer

Job Description

What is the opportunity?

As the Compliance Officer, you will work as part of the Hong Kong and Singapore Central Compliance Team to provide regulatory and central compliance services to RBC Capital Markets (WM), Wealth Management (WM) and Investor and Treasury Services (I&TS) businesses in Singapore and Hong Kong.

What will you do?

• Support the ongoing operation of RBC Hong Kong and Singapore’s Central Compliance Services team
• Planning, executing and reporting of compliance monitoring, surveillance and testing reviews across CM, WM and I&TS businesses. Communicate effectively to the business stakeholders any potential issues and review findings
• Executing the Regulatory Compliance Management (RCM) programme, including implementing new or revised monitoring, surveillance and testing reviews and keeping RCM updated in accordance with regulatory requirements
• Handling MAS, HKMA and SFC licensing and registrations, de-registrations, monitoring pending exams, competence documentation, regulatory notifications, CPT hrs and annual attestation
• Handling Company Registry TCSP licensing registration and regulatory notifications
• Assisting in monitoring, interpreting and dissimilating regulatory circulars, consultation papers, regulatory changes to relevant business compliance or stakeholders; as well as coordinating the submission of regulatory self-assessments, survey and reporting
• Maintaining internal compliance processes in relation to Gift and Entertainment, Personal Account Dealing including preclearance requests, account declaration and statement reconciliation, Private Investment and Outside Business Activities
• Assisting in devising compliance policies, procedures and processes, and regular compliance reminders to facilitate the Business units to comply with applicable regulatory requirements
• Assisting in preparing and coordination of compliance related management reporting
• Updating the CALMA and RegComp systems to record and track compliance issues

What do you need to succeed?

Must-have

• Minimum of 3 years compliance, regulatory or audit experience
• Ability and willingness to accept accountability, demonstrate initiative, work independently with reasonable level of direct supervision and support effective cross-unit co-operation and information sharing
• Proficiency skills using MS Word, MS Excel and MS PowerPoint
• Excellent written and oral communication skills
• Strong analytical skills
• Strong interpersonal, communication and presentation skills

Nice-to-have

• Bachelor’s Degree preferably in relevant disciplines of Accounting, Finance, Law and Business

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program with competitive compensation, bonuses and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Work in a dynamic, collaborative, progressive and high-performing team
• Access to a variety of job opportunities across business and geographies as you develop over time

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JOB SUMMARY
City: Singapore
Address: Level 26, 8 Marina View #26-01 Asia Square Tower 1
Work Hours/Week: 40
Work Environment: Office
Employment Type: Permanent
Career Level: Experienced Hire/Professional
Pay Type: Salary + Variable Bonus
Required Travel (%): 0-25
Exempt/Non-Exempt: N/A
People Manager: No
Application Deadline: 12/05/2021
Platform: Group Risk Management
Req ID: 403254
Ad Code(s):