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VP, Business Surveillance

VP, Business Surveillance

The incumbent is required to conduct end to end surveillance reviews and investigations on front office activities in a private & investment banking environment

Main Duties
  • Conduct surveillance reviews in accordance Bank’s policies and procedures as well as regulatory requirements including SFA/FAA requirements, MAS Notices and Guidelines, Fair Dealing Guidelines and Private Banking Code of Conduct.
  • Collaborate with stakeholders including Business Management, Compliance, Operational Risk and Product Management Group.
  • Consolidate and prepare surveillance findings and management reports to Senior Management.
  • Participate in changes for internal Surveillance reviews methodology as well as process improvements projects
  • Contribute in information gathering during audit reviews.


Requirements:
  • Minimum 6 years of Front office surveillance experience
  • Knowledge of regulatory and compliance requirements such as Fair dealing practices and Private banking code of conduct
  • Good command in English and ability to work with multiple senior stakeholders.
  • Excellent Excel and PowerPoint skill
EA Licence No: 16S7973
EA Reg No. R1105493