A regional Private Bank in Singapore is looking to appoint a Control & Surveillance Specialist to support the Private Banking business in areas relating to investment suitability reviews, transaction monitoring and regulatory compliance.
The role involves working closely with internal stakeholders to ensure adherence to internal policies, regulatory requirements and control frameworks within the Private Banking business.
Key Responsibilities
- Conduct post-transaction and account reviews to ensure compliance with internal policies and suitability guidelines
- Monitor and review transaction activities and exceptions, escalating irregularities where required
- Work closely with internal stakeholders including Risk, Compliance and business teams on surveillance and control matters
- Support internal and regulatory reviews, including preparation of documentation and follow-up actions
- Assist with policy updates, regulatory gap analysis and internal training on new or revised guidelines
Requirements
- Experience in transaction monitoring, surveillance, suitability review or compliance within banking or wealth management
- Familiarity with market conduct standards and control frameworks within financial institutions
- Understanding of Singapore regulatory requirements relevant to banking or wealth management
- Strong analytical skills with attention to detail and ability to work independently
- Ability to communicate in Mandarin is required as the role involves interaction with Mandarin-speaking stakeholders
Interested candidates may submit their updated CV.
Claire Ang (R22109899)
EA License: 22S1193
