Your new company
My Client is a top tier investment bank, located in Singapore. They are currently looking for a Business Risk Specialist to join their fast and moving team.
Your new role
You’ll be working in Front Line Support (FLS) team locally report into the Wealth Management APAC Business Risk Organization (BRO) team. 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.
We are looking for a high caliber individual with these qualities to assist the following:
What you'll need to succeed
- 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 and
- Assist the Supervisor with other control tasks & provide trainings to the team members as and when required.
What you need to do now
- Would be great if the candidate possesses 2-3 year of experience in risk, controls, investigations, compliance, audit and/or legal within the investment banking industry.
- Some experience in investment suitability and tape listening knowledge in wealth management would be an added advantage
- Must be able to speak Cantonese, besides English and Mandarin as the candidate is required to communicate well with Front Line Staffs based in Hong Kong office
- Good knowledge of wealth management financial products and services
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.
EA License Number: 07C3924 | Company Registration No: 200609504D #1182606