Job Application

Job Title

Head, Compliance Review

Job Description

Primary Objective:

To ensure business operations complies with local regulators’ regulations and the Group’s regulations by

  • Leading and overseeing the section in designing and carrying out compliance reviews, ISA Unit and Market Surveillance functions in a professional manner
  • Partnering with business and provide solutions from regulatory perspective
  • Leading and overseeing projects relating to system migration, process improvement or new regulation rollout

Key Responsibilities:

  • Oversee and lead the Compliance Review team in carrying out the Annual Compliance Workplan – in the functions of the ISA Unit, Compliance Review and Market Surveillance – in a timely manner
  • Conduct annual planning of the Compliance Workplan
  • Liaise and implement policies and methodologies from the Group
  • Adopt and adapt the Group’s testing methodologies in carrying out reviews
  • Oversee the design, development and regular updates of review programs for effective execution
  • Identify regulatory risks, escalate and provide suitable recommendations for findings detected
  • Perform regulatory reporting and liaison for regulatory issues identified
  • Oversee the documentation and performance of record-keeping for reviews conducted
  • Oversee and prepare case summary reports and presentation deck for management reporting
  • Support general compliance activities and take part in assigned projects on an ad-hoc basis
  • Stay abreast of regulatory developments and best practices within the region
  • Prepare training materials and conduct trainings, if required

 Other function(s)

  • Carry out any other projects or work as and when directed by the Head Group Compliance, Singapore from time to time.


Formal Education:

  • Degree and above in Business, Accounting, Finance or relevant disciplines

Preferred level of Experience (by years/function/industry):

  •  > 10 years relevant experience in the banking and financial industry (audit, compliance testing or advisory background)
  • Leading or having led a team
  • Strong knowledge in compliance regulations, i.e. SFA, FAA, Banking Act and SGX Rules

Other skills required:

  • Versatile and able to think on feet
  • Excellent knowledge of financial products, markets and sales practices
  • Possesses excellent time management, analytical and communication skills
  • Integrity and self-motivated
  • Excellent presentation and written skills
  • Excellent leadership skills
  • Organized and disciplined
  • Able to meet tight deadlines


Experience Level

Mid-Senior Level

Interested? Apply Now!

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