Total 117 financial planner job vacancies in Quality Assurance / Control category in Malaysia

Responsibilities:

· Prepare and review compliance handbook

· Handle MAS filings and inquiries from regulatory bodies

· Perform regular compliance checking to ensure compliance with regulatory requirements

· Handle KYC and AML-related matters as well as client onboarding compliance check

· Provide relevant advisory to business/support units and other AML teams on matters relating to compliance issues, transaction monitoring review and investigation conducted by the unit

· Perform analysis of suspicious transaction/activity reports to identify AML risk trends to support the AML risk management and controls within the Group

· FATCA / CRS reporting in accordance with relevant requirements

· Handle CPT related matters, such as update of CPT register

· Develop regulatory governance frameworks, policies, and procedures to effective management of regulatory risks for company, clients

· Facilitate and address any MAS queries and external authorities, as well as internal and external audits

· Familiar with outsourcing guidelines and prepare relevant policies, procedures and documents in compliance with MAS regulations and guidelines

· Undertake other ad-hoc duties as assigned

Requirements:

· University Degree in Business, Law, Finance or related disciplines

· At least 3 years of strong compliance experience in local regulatory compliance and risk management, with demonstrable knowledge of relevant regulatory requirements

· Strong knowledge or prior experience in key regulatory requirements such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, and AML/CFT regulations

· Work independently, self-motivated, strong analytical skills and ability to exercise sound judgment and manage execution under pressure

· Familiar with FATCA and CRS reporting is preferred

· Effective communicator in both English and Mandarin to liaise with Mandarin speaking clients

Experience GuideStone!

We are an innovative organization that invests in the spiritual, relational, financial, physical and professional development of our employees. We have a culture that values excellence, teamwork, humility, integrity, compassion and stewardship.

What We Offer You!

We offer employees a generous benefits package, flexible work schedules, the opportunity to be involved in community outreach and tuition reimbursement.

What you will do:

The Compliance Analyst – Investments (“Analyst”) will report to the Senior Compliance Manager – Investments (“Senior Manager”), primarily in support of the compliance and third-party risk management needs of GuideStone Financial Resources (“GSFR”) Investments, and GuideStone Investment Services (“GSIS”). 
 

Compliance Program:

• Support the Senior Manager in the implementation of the compliance program for GSFR Investments and GSIS
• Test and audit policies and procedures
• Monitor portfolio compliance for adherence to legal requirements and client guidelines
• Review GSIS advertising and other communications for compliance with applicable laws and regulations
• Verify maintenance of required records in accordance with applicable laws and regulations

Third-Party Risk Management:

• Assist the Senior Manager with due diligence reviews of third-party service providers of GSFR’s Investments Line of Business, including preparation of due diligence questionnaires (DDQs) and review of responses
• Monitor, review and organize reports received from third-party service providers

Other:

• Maintain project status information and monitor status of deliverables to business units
• Assist with the implementation of web-based solution platforms
• Other duties as assigned

What you will need:

• Bachelor’s Degree
• Prior experience in compliance and/or third-party risk management at an investment management firm a plus
• Familiarity with the business and regulation of investment advisers a plus
• Familiarity with charitable organizations a plus
• Well-developed interpersonal skills and excellent communication skills, both oral and written, to interpret questions and assist others not familiar with complex legal terminology or issues
• Ability to exercise independent judgment and initiate appropriate action to resolve issues with the appropriate degree of supervision
• Ability to give clear, concise directions, instructions and guidance to others
• Ability to effectively communicate with internal and external stakeholders 
• Ability to assess and manage multiple priorities
• Command of a variety of software applications to accomplish work tasks and ability to implement efficient systems for organizing work
• Ability to work effectively as a team member with every level of GSFR staff and outside consultant, including timely and effective collaboration and responsiveness
• Actively contribute to departmental goals for process maturity and increased efficiencies
• Complete confidentiality regarding GuideStone business and personnel matters

#LI-Hybrid
#LI-HM1

Responsibilities:

· Prepare and review compliance handbook

· Handle MAS filings and inquiries from regulatory bodies

· Perform regular compliance checking to ensure compliance with regulatory requirements

· Handle KYC and AML-related matters as well as client onboarding compliance check

· Provide relevant advisory to business/support units and other AML teams on matters relating to compliance issues, transaction monitoring review and investigation conducted by the unit

· Perform analysis of suspicious transaction/activity reports to identify AML risk trends to support the AML risk management and controls within the Group

· FATCA / CRS reporting in accordance with relevant requirements

· Handle CPT related matters, such as update of CPT register

· Develop regulatory governance frameworks, policies, and procedures to effective management of regulatory risks for company, clients

· Facilitate and address any MAS queries and external authorities, as well as internal and external audits

· Familiar with outsourcing guidelines and prepare relevant policies, procedures and documents in compliance with MAS regulations and guidelines

· Undertake other ad-hoc duties as assigned

Requirements:

· University Degree in Business, Law, Finance or related disciplines

· At least 3 years of strong compliance experience in local regulatory compliance and risk management, with demonstrable knowledge of relevant regulatory requirements

· Strong knowledge or prior experience in key regulatory requirements such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, and AML/CFT regulations

· Work independently, self-motivated, strong analytical skills and ability to exercise sound judgment and manage execution under pressure

· Familiar with FATCA and CRS reporting is preferred

· Effective communicator in both English and Mandarin to liaise with Mandarin speaking clients

At Baker Tilly Singapore, we welcome highly motivated and committed individuals who share our core values to join us. We are committed to our values of leading by example, delivering quality services with integrity, communicating openly, acting ethically, and fostering a community built around civic responsibility and teamwork.

We are looking for an Assurance (Financial Services) Associate, who will be involved in various sizes of financial services audit engagements which include planning, performing, and concluding the engagement. The Assurance Associate will be exposed to a broad range of capital markets entities and investment funds such as private equities, real estate, mutual funds, variable capital companies, etc.

In this role, you will:

• Involvement in a broad range of statutory and regulatory audit assignments for our financial services clients

• Assist in obtaining all necessary audit working papers and documentation including researching and documenting facts and findings

• Identify and communicate accounting and auditing matters to managers and partners

• Identify performance improvement opportunities

• Interact with clients to help ensure that the information flow from the client to the audit team is efficient

We are looking for people with the following:

• Graduates with an Accountancy degree or equivalent professional qualification in Accountancy

• Accountancy undergraduates in the final year of study are welcome to apply

• Graduates with non-accountancy degrees who are keen to pursue qualifications as Singapore Chartered Accountants are welcome to apply

• Good command of the English language

• Strong interpersonal and client relationship skills

• Experienced candidates will be considered for the Senior Associate position

Interested candidates, please email your updated CV to hr@bakertilly.sg.

We regret that only shortlisted candidates will be notified.

Primary Job Purpose:

· Monitor and track supplier purchase orders and forecasts on a timely basis to ensure timely availability of materials

· Liaise with global vendor planner on supplier shipment conformance

· Liaise with production planner to ensure level forecast to suppliers

· Ensure suppliers compliance in delivery, services and procedures

· Strategize and control material to meet inventory goals

· Manage materials stock and transactions using SAP

· Work with logistic warehouse and production in the materials movement, planning and expediting to support customer

· New program start-up co-ordination

Job Requirements:

· Diploma or Degree in (Logistics & Supply Chain) with 2-yrs experience

· Experience in manufacturing environment production

· Minimum 2 year experience in Materials Management

· Strong co-ordination skills required

· Strong excel skills & analytical skills required

· SAP experience is required

· Strong communication skills

Job Description:

If you're looking for a place to expand upon your skills, AssetMark offers you the opportunity to delve into a variety of work and interact with numerous departments within the organization. If you have a passion for learning and are serious about growing your skill set, let AssetMark be the bridge to your future! We look for you to bring initiative, resourcefulness and the ability to make sound decisions while you balance vital responsibilities with poise. Your desire for a fast-paced and exciting environment will be realized in this internship opportunity with a company that is dedicated to the personal and professional development of its valued employees.

The Job/What You’ll Do:

AssetMark’s Compliance Internship Program provides an excellent opportunity for students to gain hands on experience in the areas of investment adviser compliance, legal, operations and project management, while developing a wide variety of technical and interpersonal skills at a financial institution. Interns will work with Department Leaders on challenging assignments related to regulatory projects, compliance policies and processes and procedures to gain a better understanding of what it means to be a compliance professional in the wealth management business. Throughout their 10-week internship experience, interns will develop a network of peers and mentors that will be a constant source of encouragement and advice.

In addition to the work experience, AssetMark encourages participation in the various networking and community service events that it sponsors. Interns will also have the opportunity to take advantage of various professional development and technical classes that are delivered by the AssetMark Learning and Development team.

Successful candidates have a strong desire to work in a fast-paced, innovative,  change-oriented business environment with a strong desire to pursue corporate opportunities.

Knowledge, Skills, and Abilities:

• Strong written and verbal communication skills
• Strong academic profile; preferred minimum GPA of 3.0 on a 4.0 scale
• Intermediate-Advanced knowledge of Microsoft Office® (Word, Excel, PowerPoint, Outlook)
• Comfortable learning, managing, and navigating through data and content
• Ability to self-direct and manage time and priorities
• Attention to detail
• Ability to work independently and be a team player
• A positive, team oriented, can-do attitude

Education & Experience:

• Pursuing a undergraduate degree in Business, Management, Finance, or related field; will consider recent graduates

Internship Details

Hourly wage: $16.00 per hour

Internship Duration: June 10, 2024-August 16, 2024

Candidates must be legally authorized to work in the US to be considered. We are unable to provide visa sponsorship for this position.

#LI-DNP

Who We Are & What We Offer:

AssetMark’s mission is centered around helping financial advisors make a difference in the lives of their clients. To help them do that, we aim to provide advisors with holistic support. We offer compelling technology that facilitates a better client experience, consulting services that ensure advisors’ businesses are running at their best and a comprehensive suite of investment solutions. AssetMark’s platform empowers advisors to provide the highest level of service possible to their clients.

AssetMark’s culture is driven by our mission and connected by our values; Heart, Integrity, Excellence and Respect. You will join a team that lives these values every day by doing the best and what is right in all we do  and encouraging different ideas for continual success and innovation. Additionally, we offer a wide range of benefits to meet the needs of our team members and their families.

• Flex Time Off or Paid Time/Sick Time Off
• 401K – 6% Employer Match
• Medical, Dental, Vision – HDHP or PPO
• HSA – Employer contribution (HDHP only)
• Volunteer Time Off
• Career Development / Recognition
• Fitness Reimbursement
• Hybrid Work Schedule

As an Equal Opportunity Employer, AssetMark is committed to building a diverse and inclusive workplace where everyone feels valued.

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients.

At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.

To learn more about CIBC, please visit CIBC.com

What you'll be doing

As a member of the Personal and Business Banking team, you’ll work in a fast-paced Banking Centre where you’ll make a meaningful difference in our clients’ lives. As a Financial Services Representative, you’ll foster key relationships with clients, understand their financial and personal goals, provide informative and tailored service, and recommend the right products and solutions that will help their financial success. You’re flexible to work our banking centre hours which may include evenings and weekends. To help deliver a great client experience, you’re flexible to work at multiple banking centres within a reasonable travel distance. 

At CIBC we enable the work environment most optimal for you to thrive in your role. To successfully perform the work, you will be constantly on-site.

How you'll succeed

• Client engagement - Meet with clients to understand their personal and business priorities, advise them on solutions, and provide a forward-looking financial plan. Use your knowledge of cash management, credit, investment and wealth protection to help clients meet their goals.
• Relationship building - Engage in marketing and outreach activities to show clients you value them and their communities. Grow your network, deepen existing relationships, and work as one team to ensure clients are connected to the right people and opportunities.
• Leveraging technology - Become a technology expert. Share your knowledge by introducing clients to our mobile banking applications, helping them to better manage their banking needs.

Who you are

• You put our clients first. You engage with purpose to find the right solutions. You go the extra mile, because it’s the right thing to do.
• You’re goal oriented. You’re motivated by accomplishing your goals and delivering your best to make a difference.
• You know that details matter. You notice things that others don't. Your critical thinking skills help to inform your decision making.
• You’re passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
• You love to learn. You’re passionate about growing your knowledge, and you know that there is no limit to what you can achieve.
• You’re a certified professional. You have current accreditation and good standing Mutual Funds License (Canadian Securities Course or Investment Funds In Canada).
• You can demonstrate 1 year experience in working with clients and achieving sales results. It’s an asset if you have prior banking experience in a similar capacity.
• Values matter to you. You bring your real self to work and you live our values - trust, teamwork, and accountability.

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.

• We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.

• Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.

• We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.

*Subject to plan and program terms and conditions

What you need to know

• CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com

• You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.

Job Location

Huntingdon

Employment Type

Regular

Weekly Hours

37.5

Skills

Client Issue Resolution, Client Relationship Management, Customer Experience (CX), Digital Literacy, Empathy, Financial Services, Interpersonal Communication, Standards Compliance, Transaction Services

Position: Financial Control Specialist

Location: Tampines - EW2 MRT

Salary: Up to $2700

Job Description:

• Report team leads
• Performs accounting duties in compliance with financial policies and procedures
• Manages day-to-day invoice activities, including verification, processing, and reconciliation
• Provides essential support to the accounts payable team
• Collaborates with internal and external stakeholders
• Ensures timely and efficient handling of invoices

Good to have:

• Accounts payable experience
• Analytical and problem-solving skills to assess financial data and identify trends
• Strong communication skills for interacting with internal and external stakeholders

By submitting any application or résumé to us, you will be deemed to have agreed and consented to us disclosing your personal information to prospective employers for their consideration.

We regret to inform you that only shortlisted candidates will be notified. All applications will be treated with the strictest confidence.

Elitez Pte Ltd | EA Licence: 16C8004| Hailey YANG | Registration No: R1876431

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients.

At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.

To learn more about CIBC, please visit CIBC.com

What you'll be doing

As a member of the Personal and Business Banking team, you’ll work in a fast-paced Banking Centre where you’ll make a meaningful difference in our clients’ lives. As a Financial Services Representative, you’ll foster key relationships with clients, understand their financial and personal goals, provide informative and tailored service, and recommend the right products and solutions that will help their financial success. You’re flexible to work our banking centre hours which may include evenings and weekends. To help deliver a great client experience, you’re flexible to work at multiple banking centres within a reasonable travel distance. 

At CIBC we enable the work environment most optimal for you to thrive in your role. To successfully perform the work, you will be constantly on-site.

How you'll succeed

• Client engagement - Meet with clients to understand their personal and business priorities, advise them on solutions, and provide a forward-looking financial plan. Use your knowledge of cash management, credit, investment and wealth protection to help clients meet their goals.
• Relationship building - Engage in marketing and outreach activities to show clients you value them and their communities. Grow your network, deepen existing relationships, and work as one team to ensure clients are connected to the right people and opportunities.
• Leveraging technology - Become a technology expert. Share your knowledge by introducing clients to our mobile banking applications, helping them to better manage their banking needs.

Who you are

• You put our clients first. You engage with purpose to find the right solutions. You go the extra mile, because it’s the right thing to do.
• You’re goal oriented. You’re motivated by accomplishing your goals and delivering your best to make a difference.
• You know that details matter. You notice things that others don't. Your critical thinking skills help to inform your decision making.
• You’re passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
• You love to learn. You’re passionate about growing your knowledge, and you know that there is no limit to what you can achieve.
• You’re a certified professional. You have current accreditation and good standing Mutual Funds License (Canadian Securities Course or Investment Funds In Canada).
• You can demonstrate 1 year experience in working with clients and achieving sales results. It’s an asset if you have prior banking experience in a similar capacity.
• Values matter to you. You bring your real self to work and you live our values - trust, teamwork, and accountability.

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.

• We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.

• Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.

• We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.

*Subject to plan and program terms and conditions

What you need to know

• CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com

• You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.

Job Location

Carrefour Richelieu

Employment Type

Regular

Weekly Hours

37.5

Skills

Client Relationship Management, Customer Experience (CX), Digital Literacy, Financial Services, Goal Planning, Mutual Funds, Outbound Calls, Problem Solving, Regulatory Requirements, Results-Oriented

At EY, you’ll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we’re counting on your unique voice and perspective to help EY become even better, too. Join us and build an exceptional experience for yourself, and a better working world for all.

EY is the most globally integrated professional services organization which encompasses a separate business unit dedicated exclusively to the financial services marketplace. Join Financial Services (FSO) and you will work with multi-disciplinary teams from around the world to deliver a global market perspective. Aligned to key industry groups including asset management, banking and capital markets, insurance and private equity, we provide integrated advisory, assurance, tax, and transaction services to our clients.

The Extended Assurance (EA) team builds on its expertise in assessing risks and controls of financial institutions, ranging from:

• Governance, Enterprise risk management
• Environmental, Social, Governance (ESG)
• Regulatory compliance (e.g. anti-money laundering, conduct risk etc)
• Business risks (e.g. investment management, credit, payments etc)
• Operational & Technology risk management
• Emerging technology

With this, our EA team provides clients and their key stakeholders the assurance that their governance, control environment, risk management and regulatory compliance are effectively designed and operating effectively. The EA team offers this assurance through a variety of services including controls / regulatory assurance, independent assessments and internal audits.

The opportunity

You will have the opportunity to take on responsibilities that would allow you to develop a deep and professional knowledge base in markets including wealth and asset management, banking and capital markets, insurance, payment services providers and service providers to the financial institutions.

Your key responsibilities

• Deliver quality EA services to clients and their stakeholders.
• Demonstrate a thorough understanding of risk management and controls concepts and apply them to client situations.
• Collaborate to plan engagement objectives and an engagement strategy that complies with professional standards and appropriately address risk.
• Direct field work, manage engagement economics and inform supervisors of the engagement status.
• Monitor the engagement team's progress against the plan and alter it when needed.
• Supervise junior engagement team members and develop them through effectively delegating tasks and providing guidance to EA staff.
• Develop and maintain productive working relationships with client personnel, assess clients' satisfaction and proactively maintain contact with the client throughout the year.

Skills and attributes for success

• Keen interest in controls and risk management
• Foster an efficient, innovative and team-oriented work environment.
• Strong leadership and project management skills
• Able to manage multiple engagement and deadline-drive
• Strong written and verbal communication skills
• Integrity within a professional environment

To qualify for the role you must have

• A degree in Accounting, Finance, Technology, Sustainability or a related field or Certified Internal Auditor qualification
• At least 3 years of related work experience in internal or external audit field for insurance, banking & capital markets, asset management, payment industries

Ideally, you’ll also have

• Knowledge of financial sector business trends, emerging technical and industry developments.
• Knowledge of MAS regulations for financial institutions.

What we look for

Highly motivated individuals with excellent problem-solving skills and the ability to prioritize shifting workloads in a rapidly changing industry. An effective communicator, you’ll be a confident team player that collaborates with people from various teams while looking to develop your career in a dynamic organization.

What we offer

EY offers a competitive remuneration package where you’ll be rewarded for your individual and team performance. We are committed to being an inclusive employer and are happy to consider flexible working arrangements. Plus, we offer:

• Continuous learning: You’ll develop the mindset and skills to navigate whatever comes next.
• Success as defined by you: We’ll provide the tools and flexibility, so you can make a meaningful impact, your way.
• Transformative leadership: We’ll give you the insights, coaching and confidence to be the leader the world needs.
• Diverse and inclusive culture: You’ll be embraced for who you are and empowered to use your voice to help others find theirs.

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients.

At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.

To learn more about CIBC, please visit CIBC.com

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.

• We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.

• Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.

• We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.

*Subject to plan and program terms and conditions

What you need to know

• CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com

• You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.

Job Location

Ormstown

Employment Type

Regular

Weekly Hours

37.5

Skills

Financial Services, Influencing Others, Investments, Relationship Building

• Internal Audit Exp
• Financial / Operational / Compliance Audit Exp
• Project Management Exp
• Good in Writing

Responsibilities:

• Conduct risk-based financial, operational, value-for-money and other audits and advisory projects
• Responsible for risk assessment, planning and conducting audits covering operational processes and systems
• Using audit software for data analysis and documentation
• Prepare and present audit reports to the Management and Audit Committee / Board
• Any other ad-hoc task as assigned

Requirements:

• Possess a Degree in Finance / Accountancy / Business Administration or equivalent
• Possess minimum 2 - 4 years’ Internal Audit experience
• Prior experience in financial, operational and compliance audits is preferred
• Proficiency in internal control policies and business process controls
• Strong planning, analytical and problem-solving skills
• A good team player and able to work independently with minimal supervision
• Good communication and interpersonal skills
• Good in reporting writing
• Experience in Data / Business Analytics tools is advantageous

To apply please click on the APPLY NOW button or email your resume with the following details inside your resume for faster processing:

• Reason for leaving each past & current employment

• Salary drawn for each past & current employment

• Expected Salary

• Earliest availability date

We regret only shortlisted candidates will be notified. By submitting any application or résumé to us, you will be deemed to have agreed and consented to us collecting, using, retaining and disclosing your personal information to prospective employers for their consideration.

Yoong Poh Feng

EA License | 14C7092

EA Registration Number | R1105076

Job Advert

Are you a Financial Services Compliance professional looking for a new role you can truly make your own? Are you looking to join an award-winning team in an innovative, transformational, and fast-moving organisation where you can make a difference? If so, read on…

“Everything about Asda”

We are a values-led organisation. As such we, encourage everyone to be open and honest. We work creatively and collaboratively, valuing everyone's input.

Our collaborative culture, the size of our business and our belief in the empowerment of the individual means opportunities at Asda are abundant.

We conduct £300m worth of transactions every week. Our website handles over 2 million transactions a month. We have more than 145,000 dedicated Asda colleagues ensuring that our customers are at the heart of everything we do.

“Everything you'll love.”

-Hybrid and flexible working - everyone is looking for that work/life balance and Asda have it on point. Flexible working meaning you work where it works to meet both your needs and the business needs.

-Discretionary bonus - Rewarding you for your hard work and efforts.

-Car allowance - £5,700 car allowance / electric company car

-Company Pension Scheme matched to a limit - Looking forward to the future.

-Minimum 24 days annual leave per year plus 8 bank holidays - Making sure you take time for yourself and switch off.

-4 weekly pay - which means you get an extra payday a year.

-Private medical - single, couple, family or single parent cover available

-Digital GP and Wellbeing sessions - Asda genuinely cares so we create a culture where our people can perform at their best, the physical health and mental wellbeing of all our people is very important to us.

-Discount off your shopping at Asda and George - with extra discounts running throughout the year - really makes a difference, saving the colleagues an average of £700 a year.

-Career development and apprenticeship and graduate schemes - we want our colleagues to excel and grow with our business.

-Free city centre parking - you can also use it outside working hours.

Plus, much more!

“That's more like it.”

“Find your role”

The role currently focusses on the areas of Financial Services (predominantly FCA regulations) and Telecoms (predominantly OFCOM regulations) although a flexible approach is required to adapt to emerging / changing regulatory regimes and company risk appetite and activity.

You'll report into the Senior Manager for the Financial Crime & Financial Services Compliance Team and help to:

-Horizon scan, risk assess and be curious on emerging compliance risks that may impact Asda, supporting the Senior Manager in ensuring the resources of the team are best applied to the risks facing Asda.

-Support the development and implementation of Asda's FSC programme including drafting policy documents, guidance, process flows, ways of working, forms and checklists to be utilised both within the team and by the business.

-Implement, monitor and continuously improve Asda's FSC related procedures, standards and controls through working collaboratively and cross-functionally to manage risk

-Develop training materials and conduct training where required to colleagues on FSC related areas.

-Liaise and work collaboratively with external agencies and experts

-Support on ad hoc projects within the wider Legal and Compliance team and beyond

“Let's find out about you.”

We are looking for a motivated, innovative and pragmatic manager with experience of working in a ‘Level 2' assurance function such as legal, compliance and/or audit.

We'd like you to be:

-An expert in the management of risk and the design and implementation of controls, with an ability to identify relevant regulation and translate complex requirements in to simplified and risk-based policies and procedures

-Experienced of working within a Financial Services environment, and knowledge of FCA regulations and the FCA Handbook is essential

-Familiar with OFCOM regulations and a Telecoms (Mobile) environment, although this is not essential

-Accomplished at business partnering, able to engage and influence across multiple channels and work effectively and collaboratively across different teams, maintaining a network of peers and key contacts.

-An autonomous thinker, comfortable delivering at pace in a complex and ever-changing environment.

-An effective communicator with excellent written and verbal communication skills

“Find your everything at Asda” - bringing brighter living within everyone's reach.

We are passionate about creating a diverse and inclusive workforce, representative of the communities we serve, and are creating ways to inspire diverse talent to join Asda.

Proud member of the Disability Confident employer scheme

Overview of the Position:

The position is based in Chennai, India, a central position within the AMIO Nissan entities and reports to the AMIO Financial Internal Control Section Manager.

AMIO Financial Internal Control report to the AMIEO Financial Internal Control department situated in the Regional Head Quarters in the Parisian area in France. The department’s objective is to provide reasonable assurance to management that the Financial internal control environment, processes and controls are operating effectively in order to achieve a high level of standard in the accuracy of Nissan’s Financial Reporting. This is achieved through a risk-based approach where preventive and detective controls are designed to mitigate financial risks and documented in the form of Financial policies and procedures. Such controls are monitored and evaluated for their application. The position within the department requires continuous interaction with Nissan employees and Management within AMIO entities to propose financial processes and controls that best fit Nissan’s environment, comply with laws and regulations, Nissan Global Financial guidance and International Financial Reporting Standards.

The candidate’s knowledge of Accounting Standards, Financial Internal Control processes and Internal Audit procedures provides him/her the ability to support the department in achieving its objectives.

High level of interpersonal skills, PC skills, acceptance of “hands on” tasks and fluent written and spoken English are required.

The candidate’s knowledge of Accounting Standards, Financial Internal Control processes and Internal Audit procedures provides him/her the ability to support the department in achieving its objectives.

High level of interpersonal skills, PC skills, acceptance of “hands on” tasks and fluent written and spoken English are required.

The candidate should be able to work with little supervision and interact with his or her direct manager as well as with different departments and stakeholders across different AMIO entities.

Main Tasks & Responsibilities 

•Contribute to the assessment of financial risks in the AMIO entities to identify the AMIO financial Internal Control annual plan and areas of focus

•Conduct 2nd line of defense Accounting Controls testing and/or monitoring of AMIO entities to ensure quality of financial reporting

•Cooperate with different business partners within AMIO entities (Accounting, Controlling, Legal, Tax, Human Resources, Internal Audit, Sales, Logistics …) to review and improve existing processes controls

•Contribute in the establishment and update of Nissan regional financial policies, procedures, processes, controls and accounting schemes

•Assis tin the development of AMIO financial processes for new business requirements, regulations (Anti-Bribery/ corruption), projects and secure their transfer to personnel within finance departments

•Coordinate, review and follow-up remediation plans on process and control issues raised by external and internal auditors

Background, Experience & Behavioral Attributes:

•Bachelor’s Degree in Finance, Economics or Accounting

•4-6 years of experience in accounting, auditing and or internal control, ideally in a Big 4 firm (knowledge of the Automotive Industry is a plus)

•Demonstrated strong accounting knowledge (IFRS)

•Solid financial acumen (analytical skills) and importance given to detail

•Ability to work in fast changing, dynamic and challenging environment

•High-energy self-starter with history of successful leadership accomplishments

•Ability to multi-task, work across multiple levels of customer, while being process-oriented

•Resolving a wide range of issues in imaginative as well as practical ways

•Strong oral and written communication skills / cross-functional and cross-cultural mindset

•Strong team collaboration skills

•Dependable and flexible with a team-player orientation

•Proficient in MS Office applications

•Fluent English

Chennai India

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients.

At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.

To learn more about CIBC, please visit CIBC.com

What you'll be doing

As a member of the Personal and Business Banking team, you’ll work in a fast-paced Banking Centre where you’ll make a meaningful difference in our clients’ lives. As a Financial Services Representative, you’ll foster key relationships with clients, understand their financial and personal goals, provide informative and tailored service, and recommend the right products and solutions that will help their financial success. You’re flexible to work our banking centre hours which may include evenings and weekends. To help deliver a great client experience, you’re flexible to work at multiple banking centres within a reasonable travel distance. 

At CIBC we enable the work environment most optimal for you to thrive in your role. To successfully perform the work, you will be constantly on-site.

How you'll succeed

• Client engagement - Meet with clients to understand their personal and business priorities, advise them on solutions, and provide a forward-looking financial plan. Use your knowledge of cash management, credit, investment and wealth protection to help clients meet their goals.
• Relationship building - Engage in marketing and outreach activities to show clients you value them and their communities. Grow your network, deepen existing relationships, and work as one team to ensure clients are connected to the right people and opportunities.
• Leveraging technology - Become a technology expert. Share your knowledge by introducing clients to our mobile banking applications, helping them to better manage their banking needs.

Who you are

• You put our clients first. You engage with purpose to find the right solutions. You go the extra mile, because it’s the right thing to do.
• You’re goal oriented. You’re motivated by accomplishing your goals and delivering your best to make a difference.
• You know that details matter. You notice things that others don't. Your critical thinking skills help to inform your decision making.
• You’re passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
• You love to learn. You’re passionate about growing your knowledge, and you know that there is no limit to what you can achieve.
• You’re a certified professional. You have current accreditation and good standing Mutual Funds License (Canadian Securities Course or Investment Funds In Canada).
• You can demonstrate 1 year experience in working with clients and achieving sales results. It’s an asset if you have prior banking experience in a similar capacity.
• Values matter to you. You bring your real self to work and you live our values - trust, teamwork, and accountability.

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.

• We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.

• Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.

• We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.

*Subject to plan and program terms and conditions

What you need to know

• CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com

• You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.

Job Location

Farnham

Employment Type

Regular

Weekly Hours

37.5

Skills

Client Relationship Management, Customer Experience (CX), Digital Literacy, Financial Products, Financial Services, Goal Planning, Outbound Calls, Problem Solving, Regulatory Requirements, Results-Oriented