Private Banking

3 weeks ago


Singapore BEARING SEARCH PTE. LTD. Full time
Roles & Responsibilities

Job Purpose

  • To engage and advise the stakeholders on matters relating to investment suitability & transaction surveillance review

Primary Responsibilities

  • Act as a liaison party between marketing and internal stakeholders particularly Risk, Credit & Legal & Compliance Department.
  • Assist in the handling of internal, external & regulatory audits
  • Perform post transaction and account review
  • Assist in the monitoring of irregular transactions
  • Perform GAP analysis between G&P and new regulations
  • Provide training of internal new or revised G&P and external new regulations to CSOs, ICs, and RMs
  • Ensure that the Investment Suitability and Trade Surveillance Review Framework is kept up to date with the regulatory requirements
  • Ability to effectively and independently identify key sales advisory issues that may pose regulatory issues or reputational risk to the Bank
  • Ensure timely completion of thematic transaction surveillance issue review by the team members
  • Perform any other ad-hoc duties assigned by supervisor

Qualifications and Skillsets

  • Min 6 years of relevant knowledge and experience with Market and Sales & Suitability Abuses
  • Competency in areas of investment Suitability and Transaction Surveillance review
  • Interpersonal skills to work as team player
  • Able to work independently with minimal supervision
  • Able to work with different stakeholders to investigate alerts/exceptions and recommend improvements
  • Working knowledge of Singapore regulations, in particular Banking Act, Securities and Futures Act, Financial Advisers Act and Trust Companies Act preferred
  • Excellent communications skills
  • Organised and meticulous
Tell employers what skills you have

Sales
Interpersonal Skills
Securities
Marketing
Surveillance
Compliance
Audits
Banking
Team Player
Regulatory Requirements
GAP
Able To Work Independently

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