Head of Periodic Reviews, APAC Compliance Operations

Job Title: Head of Periodic Reviews, APAC Compliance Operations
Contract Type: Permanent
Location: Singapore
Reference: 154336
Contact Name: Aishwarya Ranade
Contact Email: aishwarya.ranade@credit-suisse.com
Job Published: August 07, 2020 19:21

Job Description

Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.


We Offer


We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global Conduct and Ethics Standards.


This role will focus on the execution and development of the Financial Crime Compliance Program across Credit Suisse Private Banking division especially around the area of Periodic Review Framework and ensure that the Program meets internal and applicable local legal or regulatory requirements and standards. The individual would be involved in a wider Compliance team and may be required to provide regional support to the various country MLROs in ensuring that Global and Regional FCC standards are appropriately implemented and executed.

Team Management

  • Manage a team of 10 or above across APAC, focusing on sampling reviews of existing relationships.
  • Provide guidance and coaching to team members and ensure the team’s review quality and standard is aligned.

Client Identification 

  • Perform reviews of existing accounts across all risk levels on a sampling basis that includes but not limited to Source of Wealth, Source of Funds, KYC Identification, AML, KYC, FATCA, CRS, etc.
  • Ensure all risk issues have been appropriately been identified, escalated and relevant approvals have been acquired – PEP, Tax Compliance, Sanctions, Reputational Risk, etc. Determine if the risks involved in the relationship are still manageable and if the relationship is worth keeping or not.
  • Ensure all existing accounts reviewed satisfy the required standards in relation to Financial Crime Compliance and other regulatory requirements.

Business Engagement and Advisory

  • Provide Compliance advice to the PB Business and supporting functions on periodic review matters pertaining to new rules, regulations and initiatives. This includes advising on the relevant impact assessments and implementation.
  • Engage PB APAC Competency Centers and other First Line of Defense functions by providing metrics on sampling reviews performed by the team, and updates on key developments to processes and requirements.

Project Management

  • Support the design, development and implementation of Global and APAC projects in relation to Periodic Review in both Interim and Future state by providing specialist support and Compliance advice



You Offer


Understands the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work. This should be further elaborated on in your application.


  • Degree in Law / Accounting / Business / Economics / Banking / Finance and related academic qualification. Post-graduate qualifications in AML Compliance preferable
  • At least 8 years of relevant AML/KYC compliance experience within Wealth Management / Private Banking
  • Proficiency of AML/CFT regulations and requirements in Asia-Pacific countries, notably Singapore, Hong Kong and international AML standards


  • Strong analytical and problem solving skills
  • Outstanding written and verbal communication skills
  • Good interpersonal and people management skills as well as team leadership experience preferred
  • Experience in dealing with regulators and auditors preferred
  • Strong proficiency in Microsoft suite especially Excel (e.g. VLOOKUP and pivot tables)
  • Result oriented, dedicated, hardworking and can work on own initiative whilst also delivering on time with a high level of integrity, sense of urgency, attention to detail and quality standards 


Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.

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