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Maintain systems and controls to ensure the Bank comply with rules and regulations in accordance with SFC Code of Conduct and HKMA guidelines by: -
Observing BOS policies and regulations at all times, include code of conduct, suitability, cross border restrictions and relevant ordinances of HK and Singapore.
Observing internal guidelines and maintaining data confidentiality.
Understanding the risk profile of IAMs, Acting as a gatekeeper and ensure full compliance of sales process, annual review, etc.
Keeping IAMs profiles and documentation complete, accurate and up-to-date.
Ensuring new regulatory/ internal policies are implemented and rolled up properly.
Coordination with IAM partners and provide timely services to IAM
HK IAM Excellence Center (IAMEC)
IAM/ RI policies and flowchart
IAM entity and IAM End-client onboarding and regular periodic reviews
RI onboarding and periodic reviews
Handle IAMs' & RI enquiries and instructions; follow up on issues and requests.
Improve the IAM & RI productivity
Assist IAM events, like IAM forum and IAM Academy
Related experience in banking client service, operations or sales support.
SFC License 1 holder will be an advantage
Understand the basic mechanism of common financial products and services.
Analytical, meticulous, sensitive to details and odds.
Excellent communication and customer service skills.
Fluency in English and Chinese will be essential for handling Greater China Markets.
Possess of regulatory license is required.
IAM experience will be a big plus
Good PowerPoint. Adobe, Microsoft excel macro and office software 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.