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- Assist Business Monitoring & Surveillance team ("BMS" team) in conducting periodic surveillance review. - Conduct surveillance monitoring in selling process, investment suitability, cross border activities and code of conduct in accordance with regulatory requirements, internal policies and procedures. - Identify discrepancies and issues from the surveillance monitoring and communicate with Front Office on the necessary remediation and follow through for closure. - Provide guidance to Front Office on selling process and suitability requirements. - Prepare statistical report of the surveillance results to senior management and scorecard purpose in a timely manner. - Support the preparation/follow-up on internal/external audit and regulatory inspection. - Assist Team Head on administrative tasks. - Provide other necessary assistance as required by BMS Team.
- Minimum 3 years of Hong Kong banking surveillance related experience, preferably in investment suitability monitoring - Familiar with Private Banking activities with a focus on risk and control matters - Knowledge of investment products, HKMA and SFC investment suitability related rules, regulations and guidelines - Fluent in English (oral and writing skills) and Chinese - Good communication skills and be comfortable to speak with Senior Bankers - Open minded to changes in cope with regulatory changes and streamlined processes - Ability to work in a multi-cultural environment - Good PC and MS Excel skills
NOTICE TO THIRD PARTY AGENCIES Please note that we do not accept unsolicited resumes from recruiters or employment agencies. Any unsolicited resumes, including those submitted to hiring managers, are deemed to be the property of Bank of Singapore.
Internal Number: 5639396
About Bank of Singapore
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