The Singapore Surveillance team operates within the Business Unit Risk Management team of Asia Private Wealth Management (“AWM”) business as the first line of defence; the team primarily oversees, monitors, measures and analyses non-market risk exposure primarily for Singapore branch of the AWM business.

Roles & responsibility

• Performs daily supervisory and trade based surveillance reviews to ensure adherence to Firm's policy and procedures including but not limited to selling process and suitability, fees monitoring, the best execution, cross border restrictions, deposit protection scheme.
• Manage and provide quality assurance check on the outsourced surveillance teams to ensure that supervisory/surveillance reviews meet our performance criteria.
• Monitor and identify internal breaches/control gaps and conduct necessary investigations; where required, provide trainings and recommendation to the business.
• Partner with the AWM business and control partners such as Legal and Compliance to establish risk and control frameworks that align with regulators’ expectation
• Participate in ongoing projects to streamline processes including system enhancement to manage the risk of the business in an effective and efficient manner
• Analyze reports and perform trend analysis in assessing the risk of the business.
• Prepare reports to senior management and escalate any issues and exceptions found during surveillance review on a regular basis.
• Provide cross coverage to Hong Kong surveillance team where necessary

Requirements

• Bachelor’s degree with 2+ years of relevant working experience in the private banking industry as first line of defense
• Be able to fluently communicate in English and Mandarin, and Cantonese (preferred)
• Attentive to detail and strong communication skill
• Prior experience in a similar control function in Risk or Compliance and knowledge around regulatory requirement from HKMA, SFC and MAS perspective
• Product knowledge of various asset-classes including equity, fixed income, listed and OTC derivatives and banking products
• Excellent verbal and written communication skills

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.

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

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