Compliance Officer, Regulatory & Policy Management
full-time•Singapore
About this role
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 DESCRIPTIONThe CRO division develops and oversees the global framework for risk identification, control, reporting, and management within the risk tolerance for the various business activities for Julius Baer, aiming at sustainable growth of the franchise.
Compliance is part of the Risk, Legal and 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 incumbent will be part of a team which is responsible to develop and maintain regulatory relations, governance and policy within the Bank and set the direction for global best practices. The role supports the Head of Compliance and Head of Regulatory Compliance to provide Compliance Advisory support in areas relating to regulatory Compliance, licensing, and policy to employees of the bank. The role also supports the maintenance of good regulatory relations and assists with managing regulatory requests and various external and internal audits and regulatory inspections.
YOUR CHALLENGE
KEY FEATURES OF THE POSITION
Client Management (internal & external) Interaction with Regulators
- Support the Head of Regulatory Compliance to build and maintain regulatory relationships with local regulators
- Liaise with regulators, internal and external auditors and assist in the coordination of all regulatory requests for information, surveys and examinations
- Assist in managing the Bank’s regulatory risk and helping to preserve its franchise through advising Business and Infrastructure Units’ compliance with relevant laws, regulations, rules and internal policies and procedures in Singapore
Internal Stakeholders
- Build strong relationships with key stakeholders such as Senior management, front and other support groups
- Working close with Head office and other overseas offices in particular Hong Kong
Business Management
- Support the Policy Desk and advise on all major policy and procedures matters in the Bank
- Monitor, assess and advise on the impact of new or revised regulations in Singapore and collaborate closely with the business to ensure compliance with the regulations
- Monitor, assess and advise on the impact of consultation papers issued by the regulators and coordinate feedback from the relevant stakeholders for submission as necessary
- Maintain the regulations obligation matrix in Singapore, and liaise with various Departments in the Bank to ensure compliance with all regulatory requirements.
- Part of a team which is responsible for:
- the licensing of all representatives conducting regulated activities in Singapore (i.e. RNF Framework)
- providing advisory on general compliance matters including gifts and entertainment, mandates and secondary occupations, conflicts of interest, personal account transactions etc
- Work closely with Infrastructure groups in all regulatory reporting matters
- Participate in projects to drive changes in Bank’s processes and policies in line with regulatory changes
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, fair dealing (treating customers fairly), management of conflicts of interest, competence and continuous development, adequate risk management, and compliance with applicable laws and regulations
YOUR PROFILE
SKILLS REQUIREMENTS OF THE POSITION
Personal and Social
- Excellent interpersonal and influencing skills
- Good character with integrity, persistent, persuasive and a natural team player
- Solves problems, has initiative and takes decisions
- Is vocal and will speak out
- Possesses good judgment and ability to work under pressure
- Analytical in assessing risk
- Commands respect from regulators and colleagues at all levels
- Passionate about Julius Baer’s values
Professional and Technical
- A Bachelor’s Degree is required with a minimum of 5 years’ experience
- Good knowledge of the legal & regulatory environment
- Experience of interacting with MAS and other regulatory authorities is preferred
- Knowledge of business, processes, standards, policies and procedures in a financial/banking environment
We are looking forward to receiving your full job application through our online application tool. Further interesting job opportunities can be found on our Career site.
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Other facts
Tech stack
Interpersonal Skills,Influencing Skills,Problem Solving,Judgment,Analytical Skills,Regulatory Knowledge,Compliance Advisory,Risk Management,Stakeholder Management,Team Player,Integrity,Decision Making,Communication Skills,Attention to Detail,Relationship Building,Regulatory Reporting
About Julius Baer
Julius Baer is present in around 25 countries and 60 locations. Headquartered in Zurich, we have offices in key locations including Bangkok, Dubai, Dublin, Frankfurt, Geneva, Hong Kong, London, Luxembourg, Madrid, Mexico City, Milan, Monaco, Mumbai, Santiago de Chile, Shanghai, Singapore, Tel Aviv, and Tokyo. Our client-centric approach, our objective advice based on the Julius Baer open product platform, our solid financial base, and our entrepreneurial management culture make us the international reference in wealth management.
Team size: 5,001-10,000 employees
Website: https://www.juliusbaer.com
LinkedIn: Visit
Industry: Banking
Founding Year: 1890
What you'll do
- The Compliance Officer will develop and maintain regulatory relations, governance, and policy within the Bank, supporting the Head of Compliance. The role involves advising on regulatory compliance, managing regulatory requests, and ensuring adherence to laws and internal policies.
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Frequently Asked Questions
What does a Compliance Officer, Regulatory & Policy Management do at Julius Baer?
As a Compliance Officer, Regulatory & Policy Management at Julius Baer, you will: the Compliance Officer will develop and maintain regulatory relations, governance, and policy within the Bank, supporting the Head of Compliance. The role involves advising on regulatory compliance, managing regulatory requests, and ensuring adherence to laws and internal policies..
Why join Julius Baer as a Compliance Officer, Regulatory & Policy Management?
Julius Baer is a leading Banking company.
Is the Compliance Officer, Regulatory & Policy Management position at Julius Baer remote?
The Compliance Officer, Regulatory & Policy Management position at Julius Baer is based in Singapore, Singapore. Contact the company through Clera for specific work arrangement details.
How do I apply for the Compliance Officer, Regulatory & Policy Management position at Julius Baer?
You can apply for the Compliance Officer, Regulatory & Policy Management position at Julius Baer directly through Clera. Click the "Apply Now" button above to start your application. Clera's AI-powered platform will help match your profile with this opportunity and guide you through the application process. You can also learn more about Julius Baer on their website.