PR/095634 | Compliance monitoring and testing

• 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.