Sales Surveillance Intern

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...

**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...

Responsibilities Manage new and existing channel partners to increase product sales. Build positive working relationship with partners to ensure smooth partner services. To identify and pursue prospects through various lead generated activities, including direct mailing, cold-calling and referral program. To meet with prospects to understand their purchase...

**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...

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...

Description Responsibilities: Manage new and existing channel partners to increase product sales. Build positive working relationship with partners to ensure smooth partner services. To identify and pursue prospects through various lead generated activities, including direct mailing, cold-calling and referral program. To meet with prospects to understand...

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...

An exciting opportunity awaits a skilled AVP Market Surveillance to join a prestigious financial institution. We are in search of an AVP Market Surveillance professional with **robust experience in derivatives trading or derivatives trade surveillance**. In this capacity, you will identify potential **market misconduct** and other behaviour impacting...

**Your new company** You will be working with a fast paced, established foreign investment bank as part of the Surveillance Analyst. **Your new role** - Performs daily supervisory and trade based surveillance reviews to ensure adherence to Firm's policy and procedures including but not limited to selling process and suitability, fees monitoring, best...

**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...