Business Risk Specialist

3 days ago

River Central Community Development Council, Singapore Hays Full time $60,000 - $120,000 per year

We're looking for a KYC and AML Subject Matter Expert

Your Team

You'll be working in Front Line Support (FLS) team locally report into the Wealth Management APAC Business Risk Organization (BRO) team. Front Line Support is a dedicated independent team as a 1st line of Defense in the Control Framework to execute ex-post Controls.

As 1st Line of Defense in the Control Framework structure, we execute Controls checks (ex-post) on our Origination Units who are based in Hong Kong, Singapore & Dubai. The Controls are primarily driven by Local Regulators [Monetary of Authority of Singapore (MAS) and Hong Kong Monetary Authority (HKMA)] and also from our Global Head Office.

Your new role

We are looking for a high caliber individual with these qualities to assist the following:

  • To perform control reviews in order to assess cases which do not meet the Investment Suitability disclosure requirement
  • Reviews will be time critical and required to be performed in line with a newly agreed control review methodology which includes review of front office communications with clients, including (i) detailed email review, (ii) detailed review of internal contact notes / call reports, and (iii) if required, tape listening. Other review methods may be deployed and may be pre-agreed with supervisor
  • To carefully document the review approach, comprehensively document the review findings and provide a final assessment / conclusion for cases requiring discussion or escalation
  • Become a subject matter expert ('SME') on the control, giving considered feedback on how the control is operating and if and how over time it may be improved
  • A strong team player, positive attitude
  • Assist the Supervisor with other control tasks & provide trainings to the team members as and when required.

What you'll need to succeed

  • Business proficiency in Mandarin and English
  • Minimum 3 years experience in a Wealth Management environment with direct experience in KYC, and SoW Corroboration
  • Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal
  • Singaporean or Singapore PR

    What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV to

EA Reg Number: R

EA License Number: 07C3924

Company Registration No: D

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