Sales Surveillance Officer

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...

**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...

Your responsibilities include: 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...

**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...

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...

**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...

**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...

Location: - Central / 中央- Central / 中央- Work Type: - Permanent【仕事内容】 ・営業スタッフの営業電話や書類のレビュー ・報告書のレビューおよび社内基準、要件の確認 ・報告書の作成 ・その他関連業務 【給与】 Up to...

【仕事内容】 ・営業スタッフの営業電話や書類のレビュー ・報告書のレビューおよび社内基準、要件の確認 ・報告書の作成 ・その他関 - 業務 【給与】 Up to...

**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...

**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,...

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...

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...

**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...

**What the role is** - You will work in the Environmental Public Health Operations Group‘s Video Surveillance Section (VSS) to investigate high rise littering cases and to follow through with Service Providers on the installation of cameras for surveillance. **What you will be working on** - The work duties include the following: - Liaise and identify...

Job Duties- Actively pursue and develop new leads for Video Surveillance & Analytics solutions/services. - Carry out customer needs analysis and then propose custom solutions which persuade the customers that the product or service best satisfies their needs in terms of quality, price and suitability. - Achieving the assigned sales targets. - Develop...

Our client, a leading financial services company is looking to hire a Markets Compliance professional having solid experience in FICC and having a good understanding of Banking Act, Securities and Futures Act, Bluebook, FX Global Code. **Responsibilities**: - Monitoring regulatory changes impacting the FICC business and the branch. - Advising front office...

Job ResponsibilitiesCasino and System Related Drawings•Prepare casino surveillance drawings for regulatorysubmission• Prepare and maintain casino and systemrelated drawings for internal usage• Incorporate externaldrawings or information into casino and system relateddrawings• Ensure the drawings adhere to the requirementslaid out by the company and...