Job Description
Job Description
- Act as the First Line of Defense (FLD) to identify and monitor potential issues for suitability and selling process within the Front Office, Singapore.
- Contribute to the strengthening and implementation of management controls for suitability and the selling process.
- Assist in providing practical guidance and training to the Front Office on suitability and the selling process.
- Monitor new regulations issued by regulators and support the translation of regulatory expectations into effective controls within business processes.
- Perform trade monitoring and thematic reviews of Front Office activities, propose appropriate rectifications, and prepare reports for management attention.
- Participate in system and management projects aimed at enhancing the control landscape for suitability and the selling process.
- Liaise with other departments (e.g. Compliance, Front Supervisors, Auditors, etc.) to support...