Job Description - Perform trade surveillance.
- Provide advisory for a range of businesses with focus on Private Banking / Wealth Management
- Provide advisory on Anti-Money Laundering regulations and Customer Due Diligence requirements
- Perform compliance review to ensure adherence to rules and regulations (such as trade surveillance, documentation etc) and follow-up to ensure the proper closure of identified compliance gaps
- Conduct training for staff on compliance
- Maintain the company’s Register on Outsourcing and attend to Outsourcing related matters/queries
- Attend to staff’s staff trade requests / matters relating to personal account dealing matters.
- Liaise with internal and external auditors on audit reviews and queries, where necessary
- Perform special review / tasks as assigned
Requirements - Degree from recognized university or relevant professional qualifications
- 7-10 years of relevant experience in audit firms / financial institution in audit or compliance etc.
- Experience in fixed income and/or private banking business and familiar with Anti-Money Laundering regulations would be an added advantage
- Possess good knowledge of Banking Act, Banking Regulations, MAS Notices and Guidelines, Financial Advisers Act, Securities and Futures Act and SGX-ST Rules
- Able to perform trade surveillance using SMARTS would be an added advantage
Salary range: 8,000-12,000/month + Bonus~3 months
Please note that the salary remuneration indicated is a ballpark figure, subject to experiences and job fit. Interested applicant may send your resume and expected remuneration to
[email protected] and i will contact you shortly.
