Director, Business Compliance and Governance (GWM)

Job Description The ideal candidate will: - Drive the governance framework, methodologies and control standards across CFS and/or Group Wealth Management (GWM) business units to support effective risk management, regulatory compliance and operational consistency. - The role provides independent oversight, advisory and assurance over key business processes, including sales advisory, while guiding business units on control enhancements and risk mitigation. - This supports the business by strengthening governance discipline, promoting consistent standards across CFS and/or GWM units, and ensuring regulatory requirements are met while maintaining operational efficiency. Job Responsibilities 1. Governance Framework Development and Oversight - Develop and enhance governance frameworks, methodologies and control standards across CFS and/or GWM. - Drive consistent governance practices across different CFS and/or GWM business units. - Periodically review governance processes to ensure alignment with regulatory requirements and business needs. - Promote adoption of best practices and standardisation across the organisation. 2. Preventive Risk Management and Control Advisory - Identify emerging risks and recommend preventive control measures. - Provide advisory support to business units on strengthening control processes. - Facilitate knowledge sharing and skills transfer across CFS and/or GWM teams. - Promote awareness of risk management practices within GWM. 3. Independent Oversight and Risk Monitoring - Provide independent assessment of exceptional approval requests. - Review Key Risk Indicator (KRI) breaches and assess risk implications. - Provide objective oversight on governance and risk matters. - Ensure consistent application of internal policies and standards. 4. Controls Testing and Assurance Oversight - Establish and maintain control testing and assurance frameworks, standards and methodologies across CFS and/or GWM teams. - Provide oversight and challenge to ensure assurance activities are conducted effectively and in line with established requirements. - Monitor and assess the adequacy of remediation plans and the timely closure of identified control gaps and weaknesses. - Report on assurance outcomes, control effectiveness and emerging risk themes, escalating significant issues to management as appropriate. 5.Wealth Advisory Framework Oversight - Oversee sales advisory frameworks to ensure alignment with regulatory and internal policies. - Review advisory processes to ensure adherence to business and regulatory requirements. - Identify advisory risks and provide observations to relevant stakeholders. Qualification - Bachelor’s Degree in Banking, Business, Finance or a related discipline. - Strong knowledge of capital markets, structured products and derivatives. - Professional certifications related to financial services or risk management would be advantageous. Competencies - Strong understanding of wealth management, private banking operations and associated risks. - Familiarity with regulatory requirements across Asia, including Singapore’s Private Banking Code under the oversight of the Monetary Authority of Singapore. - Strong analytical, logical and critical thinking capabilities. - Ability to design governance frameworks and control methodologies. - Meticulous documentation skills and attention to detail. - Ability to engage and influence stakeholders across multiple business units. *Only shortlisted candidates will be identified.

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