AVP - Compliance and Controls, ASDV/SFDA

Job Responsibilities:

• Provide advisory support and serve as resource to departments in ASDV regarding compliance and control issues.

•  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.
• 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
• Oversee COI and PSI controls within department, incl. wall crossing procedures, information barrier protocols and restricted list maintenance.
• Review pitchbooks for regulatory compliance, fair dealing, disclosure accuracy for required disclaimers and cross border marketing distribution.
• Assess Accredited Investor/Institutional Investor status based on complex structures and trust arrangements
• 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.
• 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.

• Assist during internal and external audits or inspections, including following up on and assisting in resolving identified issues or deficiencies

Job Requirements

• Relevant degree holder, with 6-10 years of compliance, risk or regulatory work experience in banking industry. 
• 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. 
• Good judgement, problem solving skills and be results/task oriented to ensure sound implementation of controls, compliance processes and procedures. 
• Team player and demonstrated ability to work across all levels of the organization. 
• Strong analytical and with good communication skills.
• Proactive, independent and resourceful. 
• Able to work under time constraints and pressure. 
• Demonstrated experience with MSForms, Power BI and other M365 applications will be an advantage