Senior Compliance Officer, Wealth Management
Consultant Raymond Poon (R1660122)
Date posted 07 February 2017
An exciting Senior Compliance Officer, Wealth Management has just become available at one of the most respected banks based in Singapore.
About the Senior Compliance Officer, Wealth Management Role:
In this critical role, you will be responsible to providing product advisory to the Investment Services team in Singapore and participate in product review committees to ensure that new activities are conducted in line with regulations, industry best practices and internal policies
- Review the procedures and policies covering products to ensure that they comply with the laws and regulations and also making sure that the product or service as well as the marketing media are suitable for the proposed client targets, including ensuring client interests are protected
- Maintenance and execution of the suitability policy and framework, helping to make suitable adjustments in line with regulatory developments
- Perform surveillance testing and second level review on suitability and market abuse exceptions
- Perform review and assessment of equities and fixed income trades requiring Compliance approval
To succeed in the Senior Compliance Officer, Wealth Management Role, you will need to have the ability to improve policies, procedures or systems that are relevant from investment perspective.
- Relevant experience in performing Compliance reviews of new products and new activities process
- Relevant experience in investment and product advisory in Compliance in Wealth Management or Investment Banking
- Familiar with investment suitability as well as suitability surveillance
- Good knowledge of Wealth Management investment products
- Relevant professional qualifications (CFA or FRM equivalent qualifications preferred)
The successful candidate will join a company whose expertise has made them the leader in their field. This well-recognised brand offers a great working environment.
If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression opportunities await the right person in this exciting job.
Apply today or call me to discuss this new opportunity.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1660122 Raymond Poon