AVP-Compliance Job Description
AVP-Compliance Duties & Responsibilities
To write an effective avp-compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included avp-compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
AVP-Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for AVP-Compliance
List any licenses or certifications required by the position: CAMS, CIA, CFSA, CRCM, CPA, CISA, CISSP, CFE, CFA, AML
Education for AVP-Compliance
Typically a job would require a certain level of education.
Employers hiring for the avp-compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Finance, Financial Services, Legal, Accounting, Law, MBA, Education, Graduate, Management
Skills for AVP-Compliance
Desired skills for avp-compliance include:
Desired experience for avp-compliance includes:
AVP-Compliance Examples
AVP-Compliance Job Description
- Collaborate with team members, first line and second line partners on risk and control initiatives
- Provide compliance and risk management guidance and consultation to lines of businesses on the requirements of applicable regulations
- Contribute to the development of business procedures as a subject-matter expert/advisor where appropriate
- Maintain a strong knowledge of business functions, processes, and practices and assist the business lines and CBRO partners with compliance and control related matters and questions
- Act as a liaison between the business line and Corporate Compliance
- Assist management and the CBRO AIM team in preparing for, coordinating, and responding to requests from internal and external audits and examinations
- Work with the team to manage and maintain internal tracking of new or changes in regulations
- Assist senior management and team leadership in reporting and metrics relating to the risk environment
- Analyze and assess exposure levels to ensure that the appropriate level of control is in place
- Design and develop compliance and operational controls and testing plans in collaboration with Compliance and Controls Monitoring team
- 3+ years of previous experience in Compliance Reviews, Conformance Testing, Quality Assurance, Investigations or Audit
- Interact with a wide arrange of internal stakeholders and management on a regular basis, representatives from other officers
- Own and manage multiple projects and tasks to meet deadlines, leveraging/influencing business partners to drive results
- Influence development and drive implementation of assigned enterprise and Commercial Banking risk and compliance initiatives
- Understanding of the commercial banking business and exposure to the consumer banking business
- Able to build and maintain strong working relationships across workgroups
AVP-Compliance Job Description
- Organizational skills and ability to effectively manage multiple tasks simultaneously
- Analytical and operational knowledge to design, develop and implement compliance and controls monitoring strategies
- Providing compliance and regulatory advice to the Equities business
- Implementing surveillance strategy and investigating trade surveillance alerts
- Managing Equities compliance projects and training
- Establishing of compliance policies and framework
- Evaluate Personal Account Dealing disclosures for approval - ensuring that the individuals adhere to their Compliance obligations
- Evaluate Private Investments and Outside Affiliations for approval - analyzing the disclosures to identify any perceived or actual conflicts of interest
- Pre-clear Personal Trade requests - processing requests in all financial instruments against watch and restricted lists that are held within the firm and ensuring that there is no conflict with the individual's role at the firm
- Maintaining data within our system to ensure it is consistent with processes and requirements
- At least 2 years of experience working with Federal and State regulations including BASEL II
- Minimum 5 years’ experience in financial services with a leading bank, securities house, regulator or consultancy practice
- Experience of preparing written policy documentation preferable
- Facilitate and support personal account dealing, data privacy, customer protection, off shoring and staff on or off boarding
- Interact with risk department, regional compliance desk legal teams
- Perform due diligence assignments and conduct assessment exercises to evaluate the effectiveness of core compliance framework
AVP-Compliance Job Description
- Support the team in maintaining a strong regulatory relationship with the Monetary Authority of Singapore (MAS) by demonstrating solid concepts of corporate governance and sound risk management practices
- Provide notification to MAS on change in Articles of Association, and appointment or change in Branch Manager/Directors, facilitate regular submissions of regulatory reports such as Form 28
- Support the team in providing day to day regulatory or compliance advice on relevant laws and regulations for shared services such as Finance, Operations, IT and Risk
- Facilitate roll-out and maintenance of policies and training materials with regard to Banking Secrecy and Outsourcing
- Align CRAR with Risk department to ensure continuous alignment with the firm's 3 Lines of Defence framework
- Designing and implementing a FATCA compliance framework
- Ensuring the business have controls in place to mitigate Tax Crime
- Providing Financial Crime Advisory pertaining to FATCA
- Performing due diligence for new and existing clients
- Reporting and escalating suspicious cases
- Decent Analytical skill preferred
- Helps ensure business lines appropriately incorporate change to align with new or revised regulatory requirements
- Strong security background (understanding of risk, vulnerabilities, security policies)
- Knowledge and experience in various security tools
- Strong regulatory knowledge and experience of financial promotions
- Advanced Excel skills such as macros, access are required
AVP-Compliance Job Description
- Focuses on providing compliance advisory and support to bond underwriting / syndication, bond distribution / fixed income sales and trading
- Located within Compliance Support Team to act as the Bank's subject matter expert and 'go to' person in relation to compliance and regulatory matters
- Respond to requests for compliance advice from LTC / DCM Centre on the products and services offered (in particular, Debt Capital Markets - DCM (underwriting and distribution), provide appropriate level of support to resolve the matters being referred and liaise with Legal and Compliance Department as necessary
- Review and update Product / Project Governance Documents to ensure all regulatory risks have been considered and positively assist the business to overcome any obstacles
- Assist the Department / LTC / DCM Centre with management of regulatory risks including, determine the compliance risk management mechanism of the department, identify, assess and regularly report to Head of Legal and Compliance Department (through the Manager leading Compliance Support Team), any compliance risks, with recommendations on measures that can be taken to mitigate these risks
- The KYC Remediation Specialist has unrestricted access to all information, data, records and systems in the Bank he/she deems necessary to fulfil its function
- Ensuring the AML/KYC policies and procedures and local regulatory requirements are being adhered to during adoption of client and periodic review
- Assisting the HK AMLOs to ensuring the local implementation of any country, regional or global AFC projects and programs in conjunction with the relevant regional leads, in particular on the KYC remediation work
- Contributing to DB AML Function as a whole by sharing knowledge and best practices with AFC/AML Officers of the other Businesses and entities and other AMLOs / AFCOs, in particular during the remediation project
- Helping coordination of local AML training if any training needs are identified during the remediation work
- Must be proficient in Word and Excel and Powerpoint
- Some experience with the Volcker Rule preferred
- Be responsible for the handling the daily questions from the private wealth management and the investment banking business, including and not limited to product suitability, general advisory, licensing & registration
- University degree holder in related disciplines including finance, law, etc
- Minimum 6 years of experience in compliance, audit or legal
- At least 5 years of experience in Compliance and knowledge in equities and equities derivatives
AVP-Compliance Job Description
- Discharging the responsibilities of AML as set out under global KYC policies for divisions present in the jurisdiction
- Reporting and liaising with HK MLROs to ensure appropriate reporting and escalation of issues and/or incidents
- Responding to EMEA regulatory requests and filings
- Assisting and advising in preparing staff internally for regulatory exams
- Creating and providing training to staff
- Interacting with the business in EMEA to provide advisory services
- Assisting in preparation of periodic compliance reports
- Acting as a Local Compliance Officer with jurisdictional responsibilities for an MIS office
- Develops strategic operational plan and initiatives in support of the ethics program
- Develops strategic operational plan for regulatory compliance training for the enterprise and provides innovative technology strategies for enhancing training delivery
- Background in Credit Card or Merchant Services businesses, Compliance, Audit, or Operational Risk functions, with a strong preference for Credit Card Compliance experience
- Be proficient in English and Chinese (MUST)
- 3-4 Years experience in AML
- Strong knowledge of Tax Compliance and/or FATCA
- Proficient in English and Chinese is a must
- JD, MBA or Master’s Degree a plus