Distribution Surveillance Officer

The role of the Sales Surveillance Officer reports to Lead, Sales Surveillance. You are required to support the Lead of Sales Surveillance in administering the conduct risk framework and administering the Balanced Scorecard framework and sales advisory standards for the company. You are also required to perform investigation of any sales conduct related...

Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career...

Roles & ResponsibilitiesJob Responsibilities Conduct pro-active surveillance through CCTV of all casino related operations to ensure the integrity of the games, the safety and security of our guests, team members and Resorts World assets are maintained. Investigate complaints/queries in a timely manner. Observe, record and report on all matters relating...

Prudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support...

**Balanced Scorecard (BSC) Framework** - Administer the MAS Balanced Scorecard (BSC) framework. - Conducting checks required under the BSC framework, including documentation review of sales documents, client surveys and BSC validation of misconduct and mystery shopping cases. - Meet the requirements of the regulatory Balanced Scorecard (BSC) Framework...

Roles & ResponsibilitiesBalanced Scorecard (BSC) FrameworkAdministration the MAS Balanced Scorecard (BSC) framework. Assist to set the sales advisory standards and collaborate with internal & external stakeholders to support and raise the standards of sales advisory in the Company. Conducting checks required under the BSC framework, including documentation...

**Job Description**: **Job Profile Summary**: You are also required to perform investigation of any sales conduct related complaints or allegations. Balanced Scorecard (BSC) Framework - Administer the MAS Balanced Scorecard (BSC) framework. - Conducting checks required under the BSC framework, including documentation review of sales documents, client...

**Company overview** **Function Overview**: The AEJ Monitoring and Surveillance Compliance team is responsible to implement systems and controls to detect potential market abuse/misconduct activities as well as internal Compliance policy breaches throughout the Asia-Ex-Japan markets, which includes Singapore, Hong Kong, Taiwan, Malaysia, India, Indonesia,...

Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career...

**Location** - Singapore, Central Singapore**Job Type** - Full Time**Salary** - $4,000 - $65,000 Per Month**Date Posted** - 5 hours agoAdditional Details **Job ID** - 106870**Job Views** - 1Roles & Responsibilities **Responsibilities**: - Review of sales staff phone sales and documentation to assess the quality of calls and adherence to Regulatory and...

**About Our Client**: Our client is a global leader in securities and trading, recognized for their excellence in regulatory compliance and innovation. They are seeking a Market surveillance specialist to drive their compliance initiatives and ensure adherence to financial regulations for their Singapore office. **Key Responsibilities**: - Identify and...

Job details - Location - Singapore - Salary - S$200000 - S$250000 per annum - Job Type - Permanent - Ref - BBBH114772_1675926136 - Working Environment - Hybrid - Benefits - Bonus Scheme - Posted - about 3 hours ago Job summary My clients is a first tier corporate and institutional bank. They are looking for an experience professional with experience in...

**Responsibilities**: - Review of sales staff phone sales and documentation to assess the quality of calls and adherence to Regulatory and Bank’s internal policies and procedures. - Review of Sales Surveillance Reports to ensure corporate standards and regulatory requirements are met. - Review of reports to detect irregular activity or unusual transaction...

**Voice & Chat Surveillance Specialist**or a similar position within a financial institution, likely focusing on **Compliance and Risk Management**within the **Asia Pacific (APAC) region**. **Key Responsibilities**: - Acts as primary interface with business lines (Business COOs, Conduct & Control Officers, Front-Office Conduct & Surveillance) as well as...

**Your new company** My client, one of the market leaders in the banking sector, is currently looking for a VP/Director, Front Office Conduct Surveillance (FOCS) to work in their flagship Singapore office. **Your new role** Reporting to Head of Front Office Conduct Surveillance (APAC), you will be responsible on: - Daily monitoring of Front Office activity...

**Company overview** Aon's Benefit Index ®, Nomura's benefits **rank** **#1** amongst our competitors **Function Overview**: The AEJ Monitoring and Surveillance Compliance team is responsible to implement systems and controls to detect potential market abuse/misconduct activities as well as internal Compliance policy breaches throughout the Asia-Ex-Japan...

Singapore - Compliance - Group Functions **Job Reference #** - 290850BR **City** - Singapore **Job Type** - Full Time **Your role** - Our Financial Crime Prevention (“FCP”) Surveillance function is responsible for name screening in the APAC Private Banking (“PB”) and Investment Banking (“IB”) businesses to detect potential AML/CFT suspicious...

**JOB RESPONSIBILITIES: - ** - Perform fact find and transaction surveillance reviews on suspicious transactions generated from Transaction Monitoring System in accordance with the targeted turnaround time; - Perform peer quality check/review on activities carried out by other analysts as and when required by the supervisors; - Maintain relevant records...

**ABOUT Us AsiaNext is a trusted digital exchange for institutional investors in Asia and globally. It will offer integrated listing, trading, and post-trade services for digital assets, including digital payment tokens. The joint venture between the SBI Group in Japan and SIX Group AG in Switzerland will provide an institutional-grade platform to enable the...

European-based Commodity Trading Firm - New Headcount - Travel required The role primarily involves developing a global trading surveillance system to integrate data from various trading platforms, identifying and preventing market manipulation, and creating prototype alerts for subsequent integration into the core big data surveillance tool. This entails...