About this role
<p style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"> </p> <p style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><strong><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Job Responsibilities:</span></strong></p> <p style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"> </p> <ul style="margin-bottom:0.0cm;margin-top:0.0px"> <li style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Provide advisory support and serve as resource to departments in ASDV regarding compliance and control issues.</span></li> </ul> <ul style="margin-bottom:0.0cm;margin-top:0.0px"> <li style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Maintenance of risk control register, conduct ongoing review of key risk areas, perform risk assessments to identify gaps and formulate measures to enhance effectiveness of controls. </span></li> <li style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">As 1 LOD, proactively manage surveillance and compliance reviews by 2 LOD, by identifying and addressing control weaknesses ahead of 2LOD review, coordinate business responses to information requests and ensuring findings are remediated promptly </span></li> <li style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Oversee COI and PSI controls within department, incl. wall crossing procedures, information barrier protocols and restricted list maintenance.</span></li> <li style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Review pitchbooks for regulatory compliance, fair dealing, disclosure accuracy for required disclaimers and cross border marketing distribution.</span></li> <li style="text-align:justify;margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Assess Accredited Investor/Institutional Investor status based on complex structures and trust arrangements </span></li> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;text-align:justify;line-height:15.0pt;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;font-family:Arial, sans-serif">Coordinate and manage the timely completion of mandatory internal training and SFA/FAA‑required CPD hours by staff, including tracking, record‑keeping, escalation of late completion, and coordination with approved external training providers, HR and Compliance Dept.</span></li> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;text-align:justify;line-height:15.0pt;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;font-family:Arial, sans-serif">Conduct internal compliance trainings as 1LOD to ensure staff are provided with sufficient education and awareness to ensure compliance with regulatory requirements and Bank procedures.</span></li> </ul> <ul style="margin-bottom:0.0cm;margin-top:0.0px"> <li style="text-align:justify;margin:0.0cm 0.0cm 8.0pt 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Assist during internal and external audits or inspections, including following up on and assisting in resolving identified issues or deficiencies</span></li> </ul> <p style="text-align:justify;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif;margin:0.0cm 0.0cm 8.0pt 0.0px"> </p> <p style="margin:0.0cm 0.0cm 8.0pt;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><strong><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Job Requirements</span></strong></p> <ul style="margin-bottom:0.0cm;margin-top:0.0px"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Relevant degree holder, with 6-10 years of compliance, risk or regulatory work experience in banking industry. </span></li> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Good knowledge and understanding of financial regulatory requirements such as Banking Act, Securities and Futures Act and its related notices/subsidiary legislation and ability to apply. </span></li> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Good judgement, problem solving skills and be results/task oriented to ensure sound implementation of controls, compliance processes and procedures. </span></li> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Team player and demonstrated ability to work across all levels of the organization. </span></li> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Strong analytical and with good communication skills.</span></li> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Proactive, independent and resourceful. </span></li> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Able to work under time constraints and pressure. </span></li> <li style="margin:0.0cm 0.0cm 8.0pt 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;line-height:115%;font-family:Arial, sans-serif">Demonstrated experience with MSForms, Power BI and other M365 applications will be an advantage</span></li> </ul> <p style="text-align:justify;margin:0.0cm 0.0cm 8.0pt;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif"> </p>