Job Responsbilities
1. To perform ex-post monitoring and surveillance to ensure key processes and controls for in-scope business risks are performed by Front Office in accordance with the Bank’s policies and procedures
2.Perform ongoing monitoring and surveillance reviews within expected completion timeline to manage in-scope business risks, including but not limited to the followings:
- Suitability and investor protection
- Deposit protection scheme
- Pricing
- Market misconduct
- Crossborder transactions
- Staff personal dealing
- Discretionary portfolio mandate
- Fraud risk
3.Reporting of control monitoring and surveillance results to management on a regular basis, and providing advice to the frontline staff on required remediation for any exceptions identified.
4.Raising awareness of Front Office on common issues identified from reviews.
5.Assessing the root cause of exceptions identified from the control monitoring and surveillance reviews, and develop any improvement actions with relevant stakeholders, if applicable.
6.Monitoring and reporting of the remediation status for any exceptions identified
7.Work closely with the head office, internal audit, compliance and risk management to deliver against objectives of the Bank in Asia.
Requirements
- Degree in accounting/Finance with relevant working experience in private Banks or audit firms.
- Knowledge in wealth management products and structure.
- Knowledge of Singapore regulatory requirements (MAS regulations, Banking Act, SFA, FAA, etc.)
- Strong interpersonal, communication and writing skills.
- Strong analytical and evaluative skills and attention to details.
- A good team player and individual contributor.
We respect your privacy and all communication will be treated with confidentiality.
Please contact us or apply in-confidence to us with you updated MS Word Resume to : [email protected]
Kelvin Lee (Reg. No. R1872625)
STAR CAREER CONSULTING PTE LTD (EA License: 20C0353)
