PB - Control & Surveillances Officer
Job Description
Your Career Our Future
Job Purpose:
To engage with and advise on issues and matters relating to investment suitability and transaction surveillance review.
Key Responsibilities:
Act as a liaison party between marketing and internal stakeholders particularly Risk, Credit & LCD.
Assist in the handling of internal, external & regulatory audits.
Perform post transaction and account review.
Assist in the monitoring of irregular transaction.
Perform gap analysis between G&P and new regulations.
Provide training of internal new or revised G&P and external new regulations to CSOs, ICs, and RMs.
Implementation of Investment Suitability and Trade Surveillance Review Framework Policy Guidelines.
Ensure timely completion of thematic transaction surveillance issue review.
Perform any other ad-hoc duties assigned by supervisors.
Key Requirements:
Knowledge and experience with Market and Sales & Suitability Abuses preferred.
Competency in areas of investment Suitability and Transaction Surveillance review.
Interpersonal skills to work as team player.
Able to work independently with minimal supervision.
Able to work with different stakeholders to investigate alerts/exceptions and recommend improvements.
Working knowledge of Singapore regulations, in particular Banking Act, Securities and Futures Act, Financial Advisers Act and Trust Companies Act preferred.
Good communications skills (oral, written) in English and Mandarin.
Organised and keen eye for details.