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Avp, Internal Controls and Surveillance, Asia

2 weeks ago

Singapore STAR CAREER CONSULTING PTE. LTD. Full time

**Job Responsbilities
1. Lead the Business and Regulatory Development for Asia to perform ex-post monitoring and surveillance to ensure key processes and controls for in-scope business risks are performed by Front Office in accordance with the Bank’s policies and procedures

2.Perform ongoing monitoring and surveillance reviews within expected completion timeline to manage in-scope business risks, including but not limited to the followings:

- Suitability and investor protection
- Deposit protection scheme
- Pricing
- Market misconduct
- Crossborder transactions
- Staff personal dealing
- Discretionary portfolio mandate
- Fraud risk

3. Be the SME to take on the business risk topics assigned, and to develop / maintain effective monitoring and surveillance review programs, including reviewing objectives, approaches and sampling methodology in Asia(HK/SG)

4.Reporting of control monitoring and surveillance results to management on a regular basis, and providing advice to the frontline staff on required remediation for any exceptions identified.

5.Raising awareness of Front Office on common issues identified from reviews.

6.Assessing the root cause of exceptions identified from the control monitoring and surveillance reviews, and develop any improvement actions with relevant stakeholders, if applicable.

7.Monitoring and reporting of the remediation status for any exceptions identified

8.Managing manpower and provide resources plan to clear any backlogs.

9.Work closely with the head office, internal audit, compliance and risk management to deliver against objectives of the Bank in Asia.

**Requirements**:

- Tertiary qualifications, ideally in business, accounting/Finance or law with relevant working experience in a financial institution or audit firm (experience in private banking will be preferred)
- Knowledgeable in wealth management products and structure,
- Knowledge of Hong Kong regulatory requirements (HKMA/SFC) and Singapore regulatory requirements (MAS regulations, Banking Act, SFA, FAA, etc.).
- Strong interpersonal, communication and writing skills,
- A good team player and individual contributor.
- Logical, leadership and project management skills
- Strong analytical and evaluative skills and attention to details.

We respect your privacy and all communication will be treated with confidentiality.

Kelvin Lee (Reg. No. R1872625)

STAR CAREER CONSULTING PTE LTD (EA License: 20C0353)