Job Duties & Responsibilities:
- Ensure that the bank's internal control processes are adequate and bank's policies and procedures are complied with via ongoing surveillance and review function.
- Initiate, lead and deliver business and control process improvements, taking accountability for outcomes and timely implementation.
- Represent Sales Surveillance team in cross-functional projects, proactively shape requirements, provide constructive inputs and drive control deliverables to completion.
- Perform surveillance reviews on the wealth management advisory business.
- Review, update and implement related policies, procedures and control measures to ensure compliance with regulatory requirements.
- Independently assess and identify any internal control weakness, determine root causes and drive necessary rectification or changes with clear ownership and timelines.
- Work with Front Office and Management on control related matters and promptly escalate issues to Management, where risks warrant management attention.
- Liaise with various internal departments including Legal and Compliance, Internal Audit, IT, Operations, Sales Support, Training and Operational Risk team.
- Prepare insightful management reporting that highlights key risks, root causes, trends and decisions required.
- Conduct sales process training to the sales staff.
Experience:
- Degree holder with at least 10 years of relevant working experience in the private wealth environment. Necessary to have field experience of risk & controls management, internal audit or compliance.
- Sound knowledge of Singapore regulatory requirements (MAS regulations, Banking Act, SFA, FAA, etc.) and Hong Kong regulatory requirements, and familiarity with DIFC regulations.
- Demonstrated drive and initiative, with a track record of independently identifying issues and taking them through to sustainable resolution.
- Strong sense of ownership and accountability; follows through on commitments and remains responsible for outcomes, even where delivery depends on multiple stakeholders.
- Comfortable working with ambiguity, challenging established processes and proposing practical solutions.
- Able to prioritise effectively, make sound judgements and maintain momentum in a fast-paced environment.
- Strong stakeholder management and influencing skills, including the ability to drive action without direct authority.
- Able to work independently and as part of a team.
- Meticulous with good analytical skills.
- Experience in running GenAI project will be an added advantage
- Excellent MS Word, Excel and PowerPoint skills. Programming knowledge of MS Excel VBA macros and prior experience with Tableau will be an added advantage.
Location:
DBS Asia Central
Job:
Compliance
Schedule:
Regular
Employee Status:
Full time
