About this role
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