Sales Surveillance Specialist

4 days ago


Singapore DBS Bank Full time
Job Description:
  • Ensure that the bank’s internal control processes are adequate and the bank’s policies and procedures are complied with via ongoing surveillance and review function.
  • Lead and implement business and control process improvements within the team and business unit.
  • Participate in projects representing the Sales Surveillance team and provide inputs and requirements from a control perspective.
  • Perform surveillance reviews on the wealth management advisory business.
  • Review, update, and implement related policies, procedures and control measures to ensure compliance with regulatory requirements.
  • Assess and identify any internal control weaknesses and implement the necessary rectification or changes in control procedures for improvement.
  • Work with Front Office and Management on control-related matters and escalate issues to Management, where appropriate.
  • Liaise with various internal departments including Legal and Compliance, Internal Audit, IT, Operations, Sales Support, Training and Operational Risk team.
  • Prepare management reporting.
  • Conduct sales process training to the sales staff.
Requirements:
  • Degree holder with at least 10 years of relevant working experience in the private wealth environment. Necessary to have field experience of risk & controls management, internal audit or compliance.
  • Sound knowledge of Singapore regulatory requirements (MAS regulations, Banking Act, SFA, FAA, etc.) and Hong Kong regulatory requirements, and familiarity with DIFC regulations.
  • Possess good interpersonal and communication skills.
  • Self-motivated with a strong sense of ownership and accountability, enthusiastic and organized.
  • Ability to take on responsibility and challenges.
  • Able to work independently and as part of a team.
  • Meticulous with good analytical skills.
  • Excellent MS Word, Excel, and PowerPoint skills. Programming knowledge of MS Excel VBA macros and prior experience with Tableau will be an added advantage.


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