Your Team

You’ll be working in Front Line Support (FLS) team locally report into the Wealth Management APAC Business Risk Organization (BRO) team. Front Line Support is a dedicated independent team as a 1st line of Defense in the Control Framework to execute ex-post Controls.

As 1st Line of Defense in the Control Framework structure, we execute Controls checks (ex-post) on our Origination Units who are based in Hong Kong, Singapore & Dubai. The Controls are primarily driven by Local Regulators [Monetary of Authority of Singapore (MAS) and Hong Kong Monetary Authority (HKMA)] and also from our Global Head Office.

Your new role

We are looking for a high caliber individual with these qualities to assist the following:
• To perform control reviews in order to assess cases which do not meet the Investment Suitability disclosure requirement
• Reviews will be time critical and required to be performed in line with a newly agreed control review methodology which includes review of front office communications with clients, including (i) detailed email review, (ii) detailed review of internal contact notes / call reports, and (iii) if required, tape listening. Other review methods may be deployed and may be pre-agreed with supervisor
• To carefully document the review approach, comprehensively document the review findings and provide a final assessment / conclusion for cases requiring discussion or escalation
• Become a subject matter expert ('SME') on the control, giving considered feedback on how the control is operating and if and how over time it may be improved
• A strong team player, positive attitude
• Assist the Supervisor with other control tasks & provide trainings to the team members as and when required.

What you'll need to succeed

• Business proficiency in Mandarin and English
• Minimum 3 years experience in a Wealth Management environment with direct experience in KYC, and SoW Corroboration
• Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal
• Singaporean or Singapore PR

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV to Samantha.Anthony@hays.com.my

Hays Registration Number: 200609504D, EA License: 07C3924, Registration ID Number: R22108490