VP/AVP, Specialist, Sale Surveillance, Private Banking

Job Duties & Responsibilities:

• 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.
• Initiate, lead and deliver business and control process improvements, taking accountability for outcomes and timely implementation.
• Represent Sales Surveillance team in cross-functional projects, proactively shape requirements, provide constructive inputs and drive control deliverables to completion.
• 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.
• Independently assess and identify any internal control weakness, determine root causes and drive necessary rectification or changes with clear ownership and timelines.
• Work with Front Office and Management on control related matters and promptly escalate issues to Management, where risks warrant management attention.
• Liaise with various internal departments including Legal and Compliance, Internal Audit, IT, Operations, Sales Support, Training and Operational Risk team.
• Prepare insightful management reporting that highlights key risks, root causes, trends and decisions required.
• Conduct sales process training to the sales staff.

Experience:

• 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.
• Demonstrated drive and initiative, with a track record of independently identifying issues and taking them through to sustainable resolution.
• Strong sense of ownership and accountability; follows through on commitments and remains responsible for outcomes, even where delivery depends on multiple stakeholders.
• Comfortable working with ambiguity, challenging established processes and proposing practical solutions.
• Able to prioritise effectively, make sound judgements and maintain momentum in a fast-paced environment.
• Strong stakeholder management and influencing skills, including the ability to drive action without direct authority.
• Able to work independently and as part of a team.
• Meticulous with good analytical skills.
• Experience in running GenAI project will be an added advantage
• Excellent MS Word, Excel and PowerPoint skills. Programming knowledge of MS Excel VBA macros and prior experience with Tableau will be an added advantage.

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