About Our Client
Our client is a global private bank with a strong Asian presence, continuing to invest in front-office governance and sales supervision. As part of its growth, the bank is creating a new VP/Director, Sales & Investment Suitability role to strengthen first-line controls across the sales and investment cycle.
This position sits close to the front office and plays a key role in ensuring robust suitability standards, product governance, and regulatory adherence across the bank's advisory and discretionary offerings.
Key Responsibilities
- Sales & Investment Suitability: Oversee suitability frameworks across the advisory and investment lifecycle; ensure recommendations meet client profiles, regulatory requirements, and internal standards.
- Front-Office Advisory: Partner with RMs, investment counsellors, and product teams on suitability queries, product usage, and client risk profiling.
- Product Governance: Review new product approvals, assess product risks, and ensure alignment with client suitability and sales practices.
- Controls & Oversight: Strengthen first-line controls across documentation, product appropriateness, investment rationale, and sales conduct.
- Regulatory Interpretation: Translate MAS and regional private banking regulatory requirements into practical frontline guidance.
- Issue Management: Investigate exceptions, escalate gaps, and drive remediation and thematic improvements.
- Training & Standards: Conduct training on suitability, sales practices, and product controls; promote consistent first-line governance.
Requirements
- 1215+ years in private banking or wealth management with deep experience in suitability, product governance, sales supervision, or 1LOD business risk.
- Strong understanding of private banking products (FX, funds, fixed income, structured products, alternatives) and investment advisory workflows.
- Excellent knowledge of MAS regulations; regional exposure is an advantage.
- Strong communication and stakeholder skills, with the ability to guide front-office teams while balancing commerciality and control.
- Backgrounds from business risk, investment suitability, product management, compliance advisory, or sales governance are ideal.
Application Process
Please submit your resume to Emily Tan at [Confidential Information]. Only shortlisted candidates will be contacted.
EA License No.: 24S2395
Registration No.: R1106860
