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Develop data analytics to monitor / detect potential anomalies relating to sale of investment products and operational risks
Design processes to handle such anomalies
Identify control gaps, assess the extent of compliance with laid down processes/policies/guide and opportunities for improvement
Document reports on reviews/analysis performed
Keep abreast of all developments in the sales and operational risk, as well as regulatory environment and collaborate with business units to adopt best practices for supervisory monitoring.
A good knowledge of the regulations governing the sale of investment products to retail customers (e.g. Financial Advisers Act, Securities and Future Act, MAS Fair Dealing Guidelines and the regulatory changes arising from the Financial Advisory Industry Review).
Work with the business partners in consumer banking to define / re-define the framework to meet the regulatory requirements in the most effective and efficient manner.
Provide advisory to business partners on compliance matters.
To participate in projects and provide necessary advise in relation to compliance risks.
Conduct training to new and existing staff on regulatory and operational requirements relating to the sale of investment products.
Provide independent review of customer complaints relating to investment products.
Prepare management reports to update senior management on the extent of the business' delivery of the fair dealing outcomes.
Qualifications Educational and Work Experiences: Degree holders
Minimum 3 years of experience in regulatory compliance, surveillance review and /or Audit in retail banking.
Past experiences in audit/compliance/risk management is preferred.
Collaborate with the relevant stakeholders to adopt best industry practices
Good communication and inter personal skills, with experience of dealing with stakeholders at all levels
Good problem solving and analytical skills, with the ability to make well judged decisions
Effective planning and ability to prioritize work to achieve objectives within the required timelines
Able to work independently as well as a team player