Private Banking

5 days ago

Singapore D L RESOURCES PTE LTD Full time

As a member of Private Bank Business Risk & Control Management (BRCM) team, you will play an important role in exercising risk oversight over front office activities through quality assurance checks.
- Specifically, this role will focus on conducting quality assurance through regular/thematic testing and ongoing post transaction reviews. You may be required to drive risk and control initiatives across Private Bank to implement new regulatory requirements or controls enhancement.

**This role entails**:
requirements and Front office controls (e.g. Investment Suitability / Anti-Fraud).
- Identify root causes and propose corrective actions to regularise process related exceptions.
- Interact with Front Office staff to provide testing results, analyse disputes and conduct

reassessments whenever necessary.
- Participates in discussions with business and risk partners on risk/process issues (e.g.

Compliance, COO functions, Internal/External Audit).
- Recommends and implements enhancements to improve effectiveness and efficiency of

Controls Framework and related processes.
- Provide sound and pragmatic risk advisory to Front Office and support function for

initiatives/activities and project

**Requirements**:

- Minimum 2 - 3 years experience in a Quality Assurance (QA) / controls testing or

surveillance function.
- Good knowledge of front office processes and internal controls within a private bank set-up
- Team player, partnering with other colleagues to achieve a common goal
- Proven ability to balance business needs and controls requirements
- Independent, able to work under pressure and deliver testing results
- Effective communication and analytical skills; and has demonstrated the ability to work

effectively with all levels within the organization
- Knowledge of Excel VBA is an advantage
- Good knowledge of Private Bank products such as Lombard Credit Loans, equities, bonds, mutual funds, ETFs, and alternative investments.

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