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The incumbent is required to conduct end to end surveillance reviews and investigations on front office activities in a private & investment banking environment
Conduct surveillance reviews in accordance Bank's policies and procedures as well as regulatory requirements including SFA/FAA requirements, MAS Notices and Guidelines, Fair Dealing Guidelines and Private Banking Code of Conduct.
Collaborate with stakeholders including Business Management, Compliance, Operational Risk and Product Management Group.
Consolidate and prepare surveillance findings and management reports to Senior Management.
Participate in changes for internal Surveillance reviews methodology as well as process improvements projects
Contribute in information gathering during audit reviews.
Minimum 6 years of Front office surveillance experience
Knowledge of regulatory and compliance requirements such as Fair dealing practices and Private banking code of conduct
Good command in English and ability to work with multiple senior stakeholders.
Excellent Excel and PowerPoint skill
EA Licence No: 16S7973 EA Reg No. R1105493
Internal Number: 6547488
About ANSA Search Pte. Ltd.
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