Private Banking -Control & Surveillances Officer
Key Responsibilities
- Act as a key liaison between front office and internal teams (Risk, Credit, LCD)
- Support internal, external, and regulatory audit processes
- Conduct post-transaction and account reviews
- Monitor and investigate irregular or suspicious transactions
- Perform gap analysis against updated policies and regulations
- Deliver training on new or revised policies and regulatory requirements
- Implement and uphold investment suitability and trade surveillance frameworks
- Ensure timely completion of thematic reviews and issue assessments
- Handle additional duties as assigned
Key Requirements
- Experience in market conduct, sales practices, or suitability-related risks preferred
- Strong understanding of investment suitability and transaction surveillance
- Ability to collaborate effectively across teams and stakeholders
- Capable of working independently with minimal supervision
- Analytical mindset with attention to detail in reviewing alerts and exceptions
- Familiarity with Singapore regulatory frameworks (e.g., banking, securities, financial advisory) is advantageous
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