I am a compliance officer with more than 18 years of experience in two banks and two countries in Asia, specializing in private banking.
I’ve been looking for roles since May 2022, and despite a few interviews, things dried up in the last quarter of the year.
I am concerned that my application will be overlooked in Singapore due to banks’ preference for locals or permanent residents, but could it be that my CV is the problem?
[Submit your CV to be roasted here].
- Seasoned banking professional with over 18 years of experience in the Regulatory Compliance, Conduct Compliance, Group Financial Crimes Compliance, Wealth Management and Private Banking Industry.
- Expert in matters related to business control for regulatory compliance, customer due diligence policies, business compliance risk and operational risk management.
- Help position the Bank as an industry leader in the eyes of regulators and industry stakeholders.
- A results-oriented analytical thinker and a great team player, with the ability to influence senior management.
- Assisted in the development of high performing teams through transition and employee development.
Executive Director, Grupo ABC, Governance and Controls) Jun 2021 – May 2022
Anti-Bribery and Corruption Group (ABC)
- Governance support and supervision of the implementation of ABC-related policies and procedures to ensure they effectively mitigate ABC risk.
- Review of policies/standards to ensure that any changes to the standards, control framework and processes of Global ABC.
- Global Policy Owner and responsible for implementation of the Gift & Entertainment Standards and Speaker Engagement Standards.
- Collaborate with training teams to input ABC training curriculum deliverables.
- Support the ABC COE team to drive the migration to the Colleague Conduct HUB on GBS [REDACTED].
- Lead and support the Speak Up team in the annual report to the Board for the year 2021
Executive Director, PvB COO April 2017 – May 2021
[REDACTED]PvB Group COO, Singapore
- Group Process Owner (delegate) responsible for ensuring consistent global standards for private banking customer lifecycle processes that meet group CDD and regulatory requirements
- Collaborate with front office and support functions to ensure robust controls are in place and well implemented while balancing customer experience.
- Drive adoption of existing and future technology and process initiatives
- Own end-to-end responsibility of the operations team supporting the country onboarding element for PvB clients
- Ensure compliance with CDD procedures at all times and ensure an effective governance framework is in place to monitor and manage AML/CDD/Sanctions/FATCA risks.
- Provide results on standard metrics/scorecards for onboarding, such as productivity, accuracy, service levels, losses/lapses, issues, and operational risk framework (“ORF”) related to the customer lifecycle.
- Review audit findings from relevant audits and develop action plans as necessary.
Director – FCC Group, PEP and Sensitive Customers Unit January 2013 to April 2017
[REDACTED]Group Office, Singapore
- Implementation of the Group’s procedures on Politically Exposed Persons (PEPs) in all business segments. The role involved working closely with the Project team, COO, FCC stakeholders to implement the new global procedure across the Group in the Retail, PvB, CIB and Commercial segments. ensure that key documentation (procedures, process notes, form templates, etc.) is produced to a high quality and that staff are trained on the requirements.
- Advice on the classification and risk assessment of PEPs and Sensitive clients for the APAC region. Management of a team of analysts analyzing and evaluating escalated clients from regional/national financial crime teams and business segments.
- Assess the specific financial crime risks associated with sensitive high-risk customers. This includes working closely with other stakeholders in the business intelligence and financial crime team to provide guidance on any additional due diligence, account reviews, or transaction analysis.
- Creation and management of a team of Case Managers in the PEP and Sensitive Clients unit.
Head -Compliance, Private Banking 2010-2013
- Manage and mitigate regulatory risk, including AML risk, through proactive advice to Senior Management in relation to applicable rules and regulations, Group policy and standards.
- Improve regulatory risk controls through compliance with Compliance responsibilities, as defined within the CDD regulatory framework and procedures. Also, strengthen control and compliance by strengthening preventive risk identification and mitigation.
- Prepare an Annual Compliance Plan for the business that includes an annual risk assessment and certificates for the Head of Group – Compliance.
Vice President of Compliance, Private and Retail Banking 2008-2010
[REDACTED II]India, Mumbai
- Advise senior management on the requirements of various regulations and group requirements governing the Bank’s operations with respect to the Private, Retail and WM Banking business.
- Manage FCC risk and controls ensuring applicable Group and local regulatory requirements for the Private Banking business are implemented.
- Review product/process proposals across businesses to identify key compliance risks and provide proactive and constructive assistance to line management to make an informed and independent decision within the regulatory framework.
- Maintain good relations with RBI/SEBI.
Relationship Manager and various other roles in Bank Branches 2004-2008
[REDACTED II]India, New Delhi
- Initial years in the banking industry that involved working closely in the planning and execution of retail and branch operations.
- executive mba of [REDACTED] University, (2009-2011).
- Qualified as Law Degree (LLB)) of [REDACTED](2001-2004)
- 1998 – 2001 Bachelor of Commerce of [REDACTED]University of Delhi, New Delhi
- 1998 Senior High School [REDACTED]New Delhi
- 1996 Senior High School [REDACTED]New Delhi
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