Lead recurring and thematic compliance reviews, risk and control assessments and responding to ad-hoc regulator requests
Cross-border, adherence to country manual requirements (RM travel, account opening, client communication)
Pre-trade investment suitability (i.e. order taking, solicitation marking, product risk disclosure, K&E mismatches)
Pricing controls (identify overcharging on transactions vs bank’s standard price list/ bilateral agreement with client)
Perform Quality assurance on: Non-Vulnerable Client assessment on Client investment profile, Performance Review, etc
Perform reviews on KYC (Eg; onboarding, periodic reviews- IDV, ownership structure, SOW/SOI, AI)
Handle internal /external audit queries
To be eligible for this role you will require:
Around 10 years of compliance testing or assurance experience from the private banking/wealth management industry.
Familiar with recent regulatory changes/developments pertaining to the private banking industry.
We regret to inform that only shortlisted candidates will be notified.
Appreciate your understanding.
EA: JAC Recruitment Pte. Ltd.
EA Licence: 90C3026
EA Personnel: R1110469
EA Personnel Name: Zhong Zhengnan, Paul
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