For Recruiters

Team Leader, KYC / Control & Surveillances

Search Ally Pte Ltd
Singapore
Posted 5 days ago Permanent S$17K - S$18K per month
L
Posted by
Lily Yang
Recruiter
To provide new account on-boarding and KYC periodical review, conduct gap analysis of MAS and HKMA consultation papers and new regulations, handle internal and external audits, and monitor transaction irregularity, perform periodic self-inspection. To engage with and advise on issues and matters relating to AML/CFT or KYC as well as investment suitability and transaction surveillance review.

RESPONSIBILITIES:

  • New Account & KYC periodic review and approval. Assist in the review and gap analysis of MAS and HKMA consultation papers and new regulations.
  • Assist in the handling of internal, external & regulatory audits
  • Perform in depth review of any potential AML/CFT related issues identify by LCD.
  • Act as a liaison party between marketing and internal stakeholders particularly Risk, Credit & LCD.
  • Assist in the monitoring of irregular transaction.
  • Provide training of internal new or revised G&P and external new regulations to CSOs, ICs, and RMs
  • Ensure that the Investment Suitability and Trade Surveillance Review Framework is kept up to date with the regulatory requirements
  • Ability to effectively and independently identify key sales advisory issues that may pose regulatory issues or reputational risk to the Bank
  • Ensure timely completion of thematic transaction surveillance issue review by the team members
  • Perform any other ad-hoc duties assigned by supervisors

REQUIREMENTS:

  • Min 10 years of relevant or banking experience focusing on KYC/AML reviews, transaction monitoring and investment suitability review.
  • Experience in private banking industry
  • Ability to lead and mentor a team
  • Working knowledge of Singapore regulations, in particular Banking Act, Securities and Futures Act, Financial Advisers Act and Trust Companies Act.

SEARCH ALLY PTE LTD | [EA License Number] 18C9289  |  [Registration Number] R1551292

 

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