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 cross-border 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

Key Stakeholders Management

Internal

• Branch Service Risk Management
• Premier Banking Offshore
• Premier Private Client
• Personal Banking Business Management Unit
• Premier Onshore Business Management Unit
• Group Wealth Management
• Regulatory Compliance Unit

Qualifications
Experience & Skill Set

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
• Good problem solving and analytical skills, with the ability to make well-judged decisions
• Effective planning and ability to prioritised work to achieve objectives within the required timelines
• Able to work independently as well as a team player

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