Vp/director, Front Office Conduct Surveillance

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...

C- Posted by - Claire Chua- RecruiterASEAN+3 MACROECONOMIC RESEARCH OFFICE (AMRO) is an international organization that aims to contribute to the macroeconomic and financial resilience and stability of the ASEAN+3 region - comprising 10 members of the Association of Southeast Asian Nations (ASEAN), and China; Hong Kong, China; Japan; and Korea - through...

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...

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...

In this critical and dynamic role, you will be responsible for conducting surveillance activities on Front Office activities in accordance to SFA/FAA requirements, MAS Notices & Guidelines, Fair Dealing Guidelines and Private Banking Code of Conduct. Your role involves collaborating with front office personnel to conduct comprehensive surveillance reviews,...

**AVP/VP Member Supervision & Market Surveillance - Central, Singapore** An established derivatives/digital assets exchange is seeking a Member Supervision & Market Surveillance professional. You will be given an exciting opportunity to work closely with the Head of Legal & Compliance to manage the regulatory compliance, member supervision & market...

**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...

**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...

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...

VP Bank Ltd was founded in 1956 and, with over 1'000 employees, ranks amongst the largest banks in Liechtenstein. VP Bank is present with offices in Vaduz, Zurich, Luxembourg, Singapore, Hong Kong and Road Town (British Virgin Islands). Its core competencies include the development of tailor-made financial solutions for intermediaries and private individuals...

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...

**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...

Roles & ResponsibilitiesBanking Sector Client: Interested candidates may apply directly or reach out to our recruiters (Edwin Teo; EA Personnel No. R24123520; Whatsapp +65 8833 0192)Job DescriptionAs a member of Private Bank Business Risk & Control Management (BRCM) team, you will playan important role in exercising risk oversight over front office...

**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...

**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...

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...

**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...

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...

**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...