Risk & Prevention, AVP, Market Conduct Advisory Risk & Prevention, AVP, Market Conduct Advisory …

OCBC Bank
in Singapore
Permanent, Full time
Be the first to apply
Competitive
OCBC Bank
in Singapore
Permanent, Full time
Be the first to apply
Competitive
OCBC Bank
Risk & Prevention, AVP, Market Conduct Advisory
Key Responsibilities
The job holder is responsible on:
Sales Advisory
  • A good knowledge of the regulations governing the sale of investment products to retail customers (e.g. Financial Advisers Act, Securities and Future Act, MAS Fair Dealing Guidelines and the regulatory changes arising from the Financial Advisory Industry Review).
  • Work with the business partners in consumer banking to operationalize regulatory requirements in the most effective and efficient manner.
  • Provide advisory to business partners on compliance matters, including crossborder marketing guidelines.
  • To participate in projects and provide necessary advise in relation to compliance risks.
  • Conduct training to new and existing staff on regulatory and operational requirements relating to the sale of investment products.
  • Provide independent review of customer complaints relating to investment products.
  • Prepare management reports to update senior management


Qualifications
Educational and Work Experiences:
Degree holders

Technical skills:
  • Minimum 3 years of experience in regulatory compliance in particular to FAA/SFA/Market Conduct.
  • Past experiences in audit/compliance/risk management is preferred.
  • Collaborate with the relevant stakeholders to adopt best industry practices
  • Strong knowledge in using Microsoft Office, in particular to, PowerPoint and Excel.

Personal Traits:
  • Good communication and inter-personal skills, with experience of dealing with stakeholders at all levels
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