AVP, Sales Surveillance Specialist, Private Banking AVP, Sales Surveillance Specialist, Private  …

DBS Bank Limited
in Singapore
Permanent, Full time
Last application, 10 May 21
DBS Bank Limited
in Singapore
Permanent, Full time
Last application, 10 May 21
AVP, Sales Surveillance Specialist, Private Banking
Business Function
DBS' Private Banking offers a one-stop, full-service touch-point for total banking requirements and provides the highest level of personalised banking. We have a team of dedicated, experienced investment advisors who identify opportunities in the various asset classes and employ the best strategies and product vehicles to cater to each client's needs. Coupled with partnerships within the DBS network and with global institutions, we strive to build long-term relationships with our Private Banking clients in Asia by providing them with high quality, timely and extensive wealth management, investment and financial solutions.

Job Description:
  • Assist to perform Sales Surveillance control checks and any ad-hoc control-assurance check.
  • Escalate to management on a timely manner on any non-compliance on sales process.
  • Review, update and implement related policies, procedures and control measures to ensure compliance with regulatory requirements.
  • Assess and identify any internal control weakness, and implement the necessary rectification or changes in control procedures.
  • Work with Front Office and Management on control related matters and escalate issues to Management, where appropriate.
  • Liaise with various internal departments including Legal and Compliance, Internal Audit, IT, Operations, Sales Support, training and Ops Risk team.
  • Prepare Sales Surveillance reports for management.
  • Assist to review control assurance process for improvement.
  • Participate in projects representing Sales Surveillance team for control assurance requirement.
  • Conduct Sales Process training to sales staff.
  • Degree holder with at least 5 years of relevant working experience in the private wealth environment. Necessary to have field experience of risk & controls management, internal audit or compliance.
  • Possess good interpersonal and communication skills.
  • Ability to work independently and as part of a team.
  • Self-motivated, organised, meticulous with good analytical skills.
  • Ability to take on responsibility and challenges.
  • Good working knowledge of MS Office e.g. Word, Excel and PowerPoint.
  • Good understanding of relevant MAS rules, regulations, practices and guidelines will be an advantage.
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We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
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