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Senior Financial Crime Compliance Officer – QA & Testing at Julius Baer, Singapore.
Lead 2nd line defence monitoring, develop testing frameworks, and drive compliance initiatives in private banking.
At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together.
GENERAL DESCRIPTION
Financial Crime QA and Testing is part of the Compliance Division of Julius Baer and supports the Senior Management in ensuring compliance with external and internal regulations to actively manage operational, regulatory and reputational risks.
The Compliance Officer, QA and Testing is responsible for performing second line of defence (“2LoD”) monitoring and surveillance controls across the Compliance function for and on behalf of BJBS.
The role supports the Head, QA and Testing and Head, Compliance Singapore in implementation of monitoring and surveillance controls as per Global Compliance Program. The role also supports the strengthening of first line of defence.
YOUR CHALLENGE
KEY FEATURES OF THE POSITION
People Management
Support Head, Compliance Singapore to ensure compliance with local regulations and adherence to internal policies, procedures and directives.
Support the Head, QA and Testing in the management of regulatory issues, trends and emerging risks.
Client Management (internal & external)
Support the Head of QA and Testing to drive Head Office 2LoD holistic monitoring program in line with global defined standards.
Foster close working relationship with key stakeholders in Head Office and other locations (in particular Hong Kong) for consistent control framework and alignment of test steps/methodologies.
Facilitate the rollout of Bank’s risk culture initiatives and HR’s disciplinary and escalation framework.
Business Management
Develop and execute Compliance 2LoD controls within the stipulated timeframe, including proper documentation and escalation of findings to senior management.
Participate in Compliance Strategic Roadmap projects and coordinate the completion of various Head Office initiatives.
Develop QA and Testing framework, including but not limited to annual QA and test plans, risk assessments, testing/QA scripts, procedures and sampling methodologies that incorporate regulatory expectations and industry developments.
Prepare and review reports for root cause analysis and systemic findings.
Assist in validating and tracking finding closures.
Perform investigations and coordinate escalation to disciplinary committee as per HR framework.
Assist in ad-hoc handling of compliance and regulatory inspection updates and reporting (internal & external).
Regulatory Responsibilities &/OR Risk Management
Demonstration of appropriate values and behaviours including but not limited to standards on honesty and integrity, due care and diligence, competence and continuous development, adequate risk management, and compliance with applicable laws and regulations.
Coordinate on control implementation and update.
Timely completion and submission of Compliance controls in relevant system
YOUR PROFILE
SKILLS REQUIREMENTS OF THE POSITION
Personal and Social
- A strong sense of responsibility, integrity and good judgement.
- Meticulous, detail oriented and analytical.
- Dynamic personality with ability to work independently and in a team environment.
- Impeccable organisational skills with ability to multi-task and manage tight deadline.
- Comfortable to escalte risk issues.
- Proactive, initiative and propose solutions for issue resolutions.
- Excellent verbal and written communication skills with ability to produce concise and effective presentations and reports.
Professional and Technical
- A degree qualified with more than 5 years of Compliance Testing/Quality Assurance or Audit experience.
- Good knowledge of the regulatory environment and risk management, including ability to connect the dots on Compliance risk issues.
- Experience in interacting with regulatory authorities and auditors.
- Knowledge of business, processes, standards, policies, and procedures in a private banking sector.
Regulatory (where applicable)
Preferably experience in similar role
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