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You'll be working in the Front Line Support (FLS) team in WM Business & Risk Regulatory Management Singapore. Front Line Support is a dedicated independent team as a 1st line of Defense in the Control Framework to execute ex-post Controls. We ensure the necessary controls are performed to ensure callback/voice logs pertaining Regulatory, Cross border activities and Investment Suitability criteria is met by Front Line staffs based in Singapore and Hong Kong.
Front Line Support is a dedicated Independent Control Function Unit within Wealth Management Business & Risk Regulatory Management Division. The team is based in Singapore and we support our Origination Units (e.g. Client Advisors, Investment Specialists/Traders) located in Singapore and Hong Kong office. As 1st Line of Defense in the Control Framework structure, we execute ex-post controls checks on our Origination Units who deal directly with our Wealth Management Clients. The Controls we execute are primarily driven by Local Regulators [Monetary of Authority of Singapore (MAS) and Hong Kong Monetary Authority (HKMA)] and also our Global requirements.
a university degree, ideally
experience in a financial services environment, preferably in Audit/Ops/Risk Control processing role
proficiency in Cantonese, besides English & Mandarin, as the candidate is required to communicate with the Front Line staffs based in Hong Kong office in the tape listening control
a clear communicator, with exceptional interpersonal skills and a good listening skill
an analytic thinker, with the ability to provide practical solutions
a self-starter, willing to take on responsibility (you can micromanage yourself)
open to continuous learning and continuous education both within the team and with Business Partners and Front Line staffs