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AVP, Market Conduct Advisory

1 month ago

Singapore OCBC Full time
Roles & Responsibilities:
- Actively engage the business to pre-empt potential market conduct risk, establish compliance policies and assist in identifying and implementing measures to mitigate gaps.
- Advise business partners on compliance matters, participate in projects so that internal processes and controls are robust.
- Collaborate with business partners to operationalize regulatory requirements in the most effective and efficient manner.
- Conduct training to new and existing staff on regulatory and operational requirements relating to the sale of investment products.
- Maintain effective relationships with stakeholders in all lines of defence and deliver training on conduct risk topics to uplift conduct and culture standards.
- Prepare management reports to update senior management.

Internal Key Stakeholders Management :
• Branch Service Risk Management
• Premier Banking Offshore
• Premier Private Client
• Personal Banking Business Management Unit
• Premier Onshore Business Management Unit
• Organisational Development
• Group Wealth Management
• Group Regulatory Compliance

Qualifications
Educational and Work Experiences:
  • Degree holders aspiring to develop a career in risk management.
  • Audit, compliance or risk management experience is an added advantage.
Technical skills:
  • Minimum 3 years of experience in retail banks.
  • Good understanding of retail banking products and services.
  • Good knowledge of regulations governing the sale of investment products to customers (e.g. Financial Advisers Act, Securities and Futures Act, MAS Fair Dealing Guidelines and the regulatory changes arising from the Financial Advisory Industry Review).
  • Strong knowledge in using Microsoft Office - e.g., PowerPoint, Excel and Power BI.
Personal Traits:
  • Good communication and inter-personal skills, with experience of dealing with stakeholders across levels
  • Good problem solving and analytical skills, with the ability to make good decisions.
  • Effective planning and ability to prioritised work to achieve objectives within the required timelines
  • Able to work independently as well as a team player

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