Risk & Prevention, AVP, Market Conduct Advisory
The job holder is responsible on:
Qualifications Educational and Work Experiences:
- 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
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.
- Good communication and inter-personal skills, with experience of dealing with stakeholders at all levels