AVP, Market Conduct Advisory

2 weeks ago


Singapore OCBC Full time
Roles & Responsibilities:

- Actively engage with the business to forecast potential market conduct risk, establish compliance policies, and support in identifying and executing measures to reduce gaps.
- Advise business partners on compliance issues, engage in projects to ensure internal processes and controls are strong.
- Collaborate with business partners to put regulatory requirements into effect in the most efficient way.
- Provide training to new and current staff on regulatory and operational requirements related to selling investment products.
- Build and maintain strong relationships with stakeholders across all lines of defense and conduct training on conduct risk topics to enhance standards of conduct and culture.
- Prepare management reports to keep senior management informed.

Internal Key Stakeholders Management:

• Branch Service Risk Management
• Premier Banking Offshore
• Premier Private Client
• Personal Banking Business Management Unit
• Premier Onshore Business Management Unit
• Organizational Development
• Group Wealth Management
• Group Regulatory Compliance

Qualifications
Educational and Work Experiences:
  • Degree holders aiming to pursue a career in risk management.
  • Experience in audit, compliance, or risk management is a plus.
Technical skills:
  • Minimum of 3 years of experience in retail banking.
  • Sound understanding of retail banking products and services.
  • Thorough knowledge of regulations overseeing the sale of investment products to customers, such as the Financial Advisers Act, Securities and Futures Act, MAS Fair Dealing Guidelines, and regulatory modifications arising from the Financial Advisory Industry Review.
  • Proficiency in using Microsoft Office applications like PowerPoint, Excel, and Power BI.
Personal Traits:
  • Effective communication and interpersonal skills, with a track record of engaging with stakeholders at various levels.
  • Strong problem-solving and analytical abilities, with sound decision-making skills.
  • Efficient planning and prioritization capabilities to meet objectives within set timelines.
  • Ability to work autonomously and as part of a team.


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