Compliance Officer, Bancassurance Business
2 months ago
About the Role
DBS Bank is seeking a highly skilled Compliance Officer to join our team in the Bancassurance Business. As a Compliance Officer, you will play a critical role in ensuring that our business operations are in compliance with relevant laws, regulations, and internal policies.
Key Responsibilities
- Provide prompt, practical, and consistent compliance advice, interpretation, and recommendation on laws, regulations, and policies as well as new products and other business initiatives to Bancassurance business of all business segments.
- Work closely with Business Units (BUs) and other compliance teams to establish and implement appropriate compliance policies and procedures for those relevant to Bancassurance business.
- Handle and manage compliance and regulatory assignments such as complaint handling, regulatory reporting, regulatory survey, regulatory examination, and ad hoc projects.
- Assess training needs, develop, and review training materials, and conduct training for BUs.
- Review and advise on policies and procedures for the general operation of Bancassurance business and its related activities to prevent compliance breaches, unethical, or improper conduct.
- Manage day-to-day operation of the Bancassurance compliance program. This includes supporting new business initiatives and product launches. To review product/service marketing materials, proposals, and implementation of sale process for Bancassurance.
- Respond to alleged violations of rules, regulations, policies, procedures, and internal code of conduct by evaluating and recommending the initiation of investigative procedures.
- Provide reports to senior management on a regular basis and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts/tasks and meetings.
Requirements
- A degree in Law, Finance, Accountancy, or related disciplines, or possession of legal or accountancy professional qualifications.
- Minimum 3 years' experience in:
- compliance/legal or audit department of a bank, insurer, or authorized/licensed financial institution;
- a local or overseas banking or relevant financial supervisory body;
- a professional legal or audit/accountancy firm with banking or financial services compliance/regulatory advisory experience.
- In-depth knowledge of banking and financial sector laws and regulations, compliance best practices, and understanding of financial products and operating business, in particular those relating to Bancassurance.
- Ability to understand the business, analyze issues, and formulate appropriate recommendations.
- Good exposure on regulatory dealing is a must.
- Ability to obtain valuable market practices from peers is a plus.
- Ability to develop a rapport within BU but maintaining independence.
- Ability to effectively communicate with management and front-line staff to drive compliance initiatives and other relevant process changes/projects.
- Good writing ability.
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