Post trade surveillance

2 weeks ago

Singapore D L RESOURCES PTE LTD Full time
Roles & Responsibilities

Banking Sector Client:

Interested candidates may apply directly or reach out to our recruiters (Edwin Teo; EA Personnel No. R24123520; Whatsapp +65 8833 0192)

Job Description

As a member of Private Bank Business Risk & Control Management (BRCM) team, you will play

an important role in exercising risk oversight over front office activities through quality assurance

checks. Specifically, this role will focus on conducting quality assurance through regular/thematic testing

and ongoing post transaction reviews. You may be required to drive risk and control initiatives

across Private Bank to implement new regulatory requirements or controls enhancement.

This role entails:

Post trade surveillance (tape listening, email surveillance) for client accounts.

Develop subject matter expertise on investment products and related regulatory

requirements and Front office controls (e.g. Investment Suitability / Anti-Fraud).

Identify root causes and propose corrective actions to regularise process related exceptions.

Interact with Front Office staff to provide testing results, analyse disputes and conduct

reassessments whenever necessary.

Participates in discussions with business and risk partners on risk/process issues (e.g.

Compliance, COO functions, Internal/External Audit).

Recommends and implements enhancements to improve effectiveness and efficiency of

Controls Framework and related processes.

Provide sound and pragmatic risk advisory to Front Office and support function for

initiatives/activities and project

Requirements

Minimum 2 – 3 years experience in a Quality Assurance (QA) / controls testing or

surveillance function.

Good knowledge of front office processes and internal controls within a private bank set-up

Team player, partnering with other colleagues to achieve a common goal

Proven ability to balance business needs and controls requirements

Independent, able to work under pressure and deliver testing results

Effective communication and analytical skills; and has demonstrated the ability to work

effectively with all levels within the organization

Knowledge of Excel VBA is an advantage

Tell employers what skills you have

Front Office
Tape
Listening Skills
Risk Control
Private Banking
Business Risk Management
Internal Controls
Risk Mgmt
Operational Risk Management
Surveillance
OTC
Operational risk control
Compliance
Risk Advisory
Call Risk
Internal Audit Quality Assurance
Banking
Regulatory Requirements
Excel VBA
Audit

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