Our client, a notable brand in the banking industry with a strong regional presence, is seeking a Senior Internal Controls and Surveillance Specialist for Asia at the Director or AVP level.
In this pivotal position, you will be the expert in mitigating business and fraud risks through ongoing monitoring and surveillance. You’ll ensure alignment with the regulatory standards, focusing on suitability, investor protection, market misconduct, cross-border activities, etc.
Your responsibilities will include developing and maintaining effective monitoring programs across Asia, refining methodologies, and implementing improvements. You’ll also provide advisory support to front-line teams and prepare reports for management.
Success in this role requires 10 to 15 years of relevant experience in Private Banking controls and sales surveillance. Candidates qualifying for the AVP grade are encouraged to apply. You should have a deep understanding of wealth management products and a solid grasp of Singapore and Hong Kong’s regulatory requirements. Proficiency in English and Chinese is essential, as this role involves interaction with the Chinese market.
If this opportunity aligns with your expertise and career aspirations, please get in touch with [email protected] for a confidential chat.
License number: EA 22S0952
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