Vp, Sales Surveillance Specialist, Private Banking, Consumer Banking Group

Business FunctionDBS’ Private Banking offers a one-stop, full-service touch-point for total banking requirements and provides the highest level of personalised banking. We have a team of dedicated, experienced investment advisors who identify opportunities in the various asset classes and employ the best strategies and product vehicles to cater to each client’s needs. Coupled with partnerships within the DBS network and with global institutions, we strive to build long-term relationships with our Private Banking clients in Asia by providing them with high quality, timely and extensive wealth management, investment and financial solutions.
- Ensure that the bank’s internal control processes are adequate and bank’s policies and procedures are complied with via ongoing surveillance and review function.
- Lead and implement business and control process improvements within the team and business unit.
- Participate in projects representing Sales Surveillance team and provide inputs and requirements from a control perspective.
- Perform surveillance reviews on the wealth management advisory business.
- Review, update and implement related policies, procedures and control measures to ensure compliance with regulatory requirements.
- Assess and identify any internal control weakness, and implement the necessary rectification or changes in control procedures for improvement.
- Work with Front Office and Management on control related matters and escalate issues to Management, where appropriate.
- Liaise with various internal departments including Legal and Compliance, Internal Audit, IT, Operations, Sales Support, Training and Operational Risk team.
- Prepare management reporting.
- Conduct sales process training to the sales staff.

**Requirements**:

- Degree holder with at least 10 years of relevant working experience in the private wealth environment. Necessary to have field experience of risk & controls management, internal audit or compliance.
- Sound knowledge of Singapore regulatory requirements (MAS regulations, Banking Act, SFA, FAA, etc.) and Hong Kong regulatory requirements, and familiarity with DIFC regulations.
- Possess good interpersonal and communication skills.
- Self-motivated with a strong sense of ownership and accountability, enthusiastic and organized.
- Ability to take on responsibility and challenges.
- Able to work independently and as part of a team.
- Meticulous with good analytical skills.
- Excellent MS Word, Excel and PowerPoint skills. Programming knowledge of MS Excel VBA macros and prior experience with Tableau will be an added advantage.