Conduct Surveillance Officer

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...

In this critical and dynamic role, you will be responsible for conducting surveillance activities on Front Office activities in accordance to SFA/FAA requirements, MAS Notices & Guidelines, Fair Dealing Guidelines and Private Banking Code of Conduct. Your role involves collaborating with front office personnel to conduct comprehensive surveillance reviews,...

LOVE WHAT YOU DO? THERE IS A PLACE FOR YOU HERE!Be part of our diverse and inclusive team. Job Responsibilities General Responsibilities Perform surveillance monitoring or review required by the department to ensure sequence and details of events is comprehensively, accurately and objectively documented Perform surveillance footage archival required by the...

**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...

**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...

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...

**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...

**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...

LOVE WHAT YOU DO? THERE IS A PLACE FOR YOU HERE!Be part of our diverse and inclusive team. Job Responsibilities Maintain an effective relationship with Guests. Maintain a professional image in all dealings with customers, in person, by telephone/radio, electronically, etc. Meet the customers’ requirements and expectations through the prompt and accurate...

**Location** Singapore, Central Singapore **Job Type** Permanent **Date Posted** 3 hours ago Additional Details **Job ID** 96209 **Job Views** 3 **Job Description**: Job Responsibilities This role reports to the Team Lead, Market Surveillance. The Market Surveillance team monitors the daily transactions conducted by Global Markets and ensure that...