CareerCross uses cookies to enhance your experience on our websites. If you continue to view our sites without changing your browser settings, then it is assumed that we have your consent to collect and utilise your cookies. If you do not want to give us your consent, then please change the cookie settings on your browser. Please refer to our privacy policy for more information.
CareerCross uses cookies to enhance your experience on our websites. If you continue to view our sites without changing your browser settings, then it is assumed that we have your consent to collect and utilise your cookies. If you do not want to give us your consent, then please change the cookie settings on your browser. Please refer to our privacy policy for more information.
PR/095634 | Compliance monitoring and testing
| Location | Singapore, Singapore |
| Job Type | Permanent Full-time |
| Salary | Negotiable, based on experience |
Job Description
Lead recurring and thematic compliance reviews, risk and control assessments and responding to ad-hoc regulator requests
Cross-border, adherence to country manual requirements (RM travel, account opening, client communication)
Pre-trade investment suitability (i.e. order taking, solicitation marking, product risk disclosure, K&E mismatches)
Pricing controls (identify overcharging on transactions vs bank’s standard price list/ bilateral agreement with client)
Perform Quality assurance on: Non-Vulnerable Client assessment on Client investment profile, Performance Review, etc
Perform reviews on KYC (Eg; onboarding, periodic reviews- IDV, ownership structure, SOW/SOI, AI)
Handle internal /external audit queries
To be eligible for this role you will require:
Around 10 years of compliance testing or assurance experience from the private banking/wealth management industry.
Familiar with recent regulatory changes/developments pertaining to the private banking industry.
We regret to inform that only shortlisted candidates will be notified.
Appreciate your understanding.
EA: JAC Recruitment Pte. Ltd.
EA Licence: 90C3026
EA Personnel: R1110469
EA Personnel Name: Zhong Zhengnan, Paul
#LI-JACSG #countrysingapore
Notice: By submitting an application for this position, you acknowledge and consent to the disclosure of your personal information to the Privacy Policy and Terms and Conditions, for the purpose of recruitment and candidate evaluation.
Privacy Policy Link: https://www.jac-recruitment.sg/privacy-policy
Terms and Conditions Link: https://www.jac-recruitment.sg/terms-of-use
General Requirements
| Minimum Experience Level | Over 3 years |
| Career Level | Mid Career |
| Minimum English Level | Business Level |
| Minimum Japanese Level | Business Level |
| Minimum Education Level | Associate Degree/Diploma |
| Visa Status | No permission to work in Japan required |
Job Location
- Singapore, Singapore
Work Conditions
| Job Type | Permanent Full-time |
| Salary | Negotiable, based on experience |
| Industry | Bank, Trust Bank |
Job Category
- Other > Other
