Senior Officer, Compliance
- Recruiter
- Mizuho Bank
- Location
- Singapore
- Salary
- Competitive
- Posted
- 05 Oct 2018
- Closes
- 09 Oct 2018
- Ref
- 4560125
- Sector
- Legal
- Contract type
- Permanent
- Hours
- Full time
Overview of Division/Department
Our Compliance (CPL), a member of our Asia & Oceania Administration Department, is in charge of formulating and maintaining the compliance framework to ensure our compliance with internal and external regulations.
Company Profile
Mizuho Bank, Ltd. is a subsidiary of the Japan-based Mizuho Financial Group, Inc. (listed on the Tokyo Stock Exchange and NYSE) and is one of the largest financial services companies in the world. Mizuho Bank, Ltd. provides financial and strategic solutions for the increasingly diverse and sophisticated needs of its clients with offices located in all the major cities of the world such as Tokyo, New York, London, Hong Kong and Singapore.
Job Responsibilities
Your key roles & responsibilities include:
Job Requirements
Our Compliance (CPL), a member of our Asia & Oceania Administration Department, is in charge of formulating and maintaining the compliance framework to ensure our compliance with internal and external regulations.
Company Profile
Mizuho Bank, Ltd. is a subsidiary of the Japan-based Mizuho Financial Group, Inc. (listed on the Tokyo Stock Exchange and NYSE) and is one of the largest financial services companies in the world. Mizuho Bank, Ltd. provides financial and strategic solutions for the increasingly diverse and sophisticated needs of its clients with offices located in all the major cities of the world such as Tokyo, New York, London, Hong Kong and Singapore.
Job Responsibilities
Your key roles & responsibilities include:
- Assist in planning and executing the Bank's Compliance programs, including:
- Compliance Action Program
- Information Control Action Program
- Intra-Office Inspection
- Responsible for processing applications made under various Compliance procedures (e.g. entertainment and gift, and personal securities trading procedures) and the general administration of such procedures in a timely manner.
- Assist in the enhancement of Compliance programs and procedures/ process.
- Provide general guidance to internal stakeholders on matters/ issues relating to the Compliance programs or procedures.
- Conduct email audit and such other testing of controls as may be required under the Information Control framework.
- Ensure timely submission of reports to Management and Head Office, as may be required.
- Act as coordinator in liaising with stakeholders and collating requisite information/ data in response to queries, information requests, questionnaires, surveys, etc as may be required by MAS, ABS and any other regulatory authorities or industry bodies.
- Disseminate information on regulatory/ compliance matters, such as MAS, ABS, Head Office and other compliance-related circulars and notifications, as well as information on regulatory changes, and revision of compliance policies/ procedures, to relevant stakeholders.
- Administer the MAS correspondence register and MASNET user access.
- Ensure prompt escalation of issues and concerns to Team Lead and Section Head in an appropriate manner.
- Collaborate with respective teams in the Compliance section in ad-hoc compliance related projects.
- Keep undated on Head Office and Internal Operation Procedures, Head Office Official Circulars, and regulatory laws and regulations, and (where applicable) advise relevant stakeholders.
- Assist in the development, implementation, review and revision of Compliance Manual, Compliance Risk Management Manual and Internal Operation Procedures.
- (Where applicable) Participate in Compliance Committee Meeting, Compliance Forum and any other committees, forums or dialogue sessions as part and parcel of the Bank's overall compliance and monitoring framework.
- Perform administrative work as may be necessary.
Job Requirements
- Degree qualified
- Experience in planning and running of compliance programs (comprising mainly of compliance checks and training) will be beneficial.
- Have a mindset that embraces change and always seeking to raise the bar (including the adoption of automation where possible).
- Knowledgeable in regulations (including the Banking Act, SFA and FAA), and have kept up with regulatory and industry trends.
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