Key Responsibilities:
- Perform daily supervisory and trade based surveillance reviews to ensure adherence to the firm's policies and procedures including but not limited to selling process and suitability, fees monitoring, best execution, cross-border restrictions, deposit protection scheme
- Manage and provide quality assurance check on the outsourced surveillance teams to ensure that supervisory/surveillance reviews meet performance criteria
- Monitor and identify internal breaches/control gaps and conduct necessary investigations; where required, provide training and recommendation to the business
- Partner with the AWM business and control partners such as legal and compliance to establish risk and control frameworks that align with regulators’ expectations
- Participate in ongoing projects to streamline processes including system enhancement to manage the risk of the business in an effective and efficient manner
- Analyse reports and perform trend analysis in assessing the risk of the business
- Prepare reports to senior management and escalate any issues and exceptions found during surveillance review on a regular basis
- Provide cross coverage to Hong Kong surveillance team where necessary
To succeed in this Surveillance Analyst (12-month contract) role, you will need have private banking background.
Key Requirements:
- Bachelor’s degree with at least two years of relevant working experience in the private banking industry as first line of defence
- Ability to fluently communicate in English and Mandarin, and Cantonese (preferred) due to the nature of the role
- Attentive to detail and strong communication skills
- Prior experience in a similar control function in risk or compliance and knowledge around regulatory requirement from HKMA, SFC and MAS perspective
- Product knowledge of various asset-classes including equity, fixed income, listed and OTC derivatives and banking products
- Excellent verbal and written communication skills
This is a leading global banking institution. This organisation offers diversity and growth for innovation for all employees which makes it a great place to work and being a part of.
If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression opportunities await the right person in this exciting Surveillance Analyst (12-month contract) job.
Apply now or contact me to find out more.
Do note that we will only be in touch if your application is shortlisted.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1985549 ShiHua Goh
