Private Banking - Singapore - D L RESOURCES PTE LTD

Description

Roles & Responsibilities

Job Description
As a member of Private Bank Business Risk & Control Management (BRCM) team, you will play
an important role in exercising risk oversight over front office activities through quality assurance
checks.
Specifically, this role will focus on conducting quality assurance through regular/thematic testing
and ongoing post transaction reviews. You may be required to drive risk and control initiatives
across Private Bank to implement new regulatory requirements or controls enhancement.


This role entails:
Post trade surveillance (tape listening, email surveillance) for client accounts.
Develop subject matter expertise on investment products and related regulatory
requirements and Front office controls (e.g. Investment Suitability / Anti-Fraud).
Identify root causes and propose corrective actions to regularise process related exceptions.
Interact with Front Office staff to provide testing results, analyse disputes and conduct
reassessments whenever necessary.
Participates in discussions with business and risk partners on risk/process issues (e.g.
Compliance, COO functions, Internal/External Audit).
Recommends and implements enhancements to improve effectiveness and efficiency of
Controls Framework and related processes.
Provide sound and pragmatic risk advisory to Front Office and support function for
initiatives/activities and project

Requirements
Minimum 2 – 3 years experience in a Quality Assurance (QA) / controls testing or
surveillance function.
Good knowledge of front office processes and internal controls within a private bank set-up
Team player, partnering with other colleagues to achieve a common goal
Proven ability to balance business needs and controls requirements
Independent, able to work under pressure and deliver testing results
Effective communication and analytical skills; and has demonstrated the ability to work
effectively with all levels within the organization
Knowledge of Excel
VBA is an advantage
Tell employers what skills you have

Front Office
Tape
Analytical Skills
Quality Assurance
Private Banking

VBA
Business Risk Management
Internal Controls
Surveillance
Compliance
Risk Advisory
Business Risk Assessment
Regulatory Requirements
Excel
VBA
Audit