Investment Suitability - An interesting role as a member of the Controls and Monitoring ('C&M) team which focuses on a variety of control testing activities. The Location C&M team is a neutral monitoring function and the primary control testing team within PB business, setup as part of the Location First Line of Defense Support (FLDS) (formerly known as Business Risk Management or BRM). FLDS in turn reports to the PB Location COO, whom in turn reports to the PB APAC COO. The Bank aims to hire persons with the right skill sets when staffing the C&M function, which is crucial in supporting the Bank's Risks and Controls Framework, as well as to ensure compliance of all Singapore booking platform operational activities with the respective local and offshore regulations by providing support to the Front Office organization on all risk and control related matters. The role includes the following core tasks and involvement: 1. You are working in a dynamic and motivated team of business controllers with the overall purpose to strengthen the bank's control framework. 2. As one of the experienced members of the team, you are responsible to guide the junior business controllers. 3. You are responsible to perform regular business controls and reviews with accuracy, consistency and good quality; and producing the results for reporting purposes in a timely manner. 4. You are partnering with Client Facing Employees, Front Office Management and other key stakeholders (e.g. Compliance, APAC and Location FLDS etc.) and acting as a control and review subject matter expert on various topics (such as Investment Suitability) 5. You are supporting Front Office Management (Market Group Heads and Market Area Heads) in conducting regular and quality Supervisory controls in a timely manner. 6. You ensure that control results are being reported and shared with all relevant stakeholders, where the gaps/issues identified are being escalated on a timely basis. 7. Where gaps have been identified, you would provide suggestions on how they can be closed. Where areas of improvements have been identified, you would provide suggestions such as streamlining the existing controls for possible increased efficiency. 8. You ensure that control and review results are being validated and tracked on an ongoing basis. 9. You will be required to perform reviews on Front Office activities related to Cross Border Country Manual adherence, Investment Suitability, Anti-Fraud and Other regulatory requirements. You offer: 1. Fast learner with at least 3 6 years of experience in a risk/control or related function in the Financial Industry 2. Confident personality with experience in handling business and operational risk issues and control matters 3. Team player and a positive can-do attitude 4. Attention to details for producing accurate and precise control results 5. Has initiative to identify areas of improvements and gaps 6. Good client and service orientation, enthusiasm and flair to deal with various personality types 7. Effective communication and stakeholder-management skills, particularly in the ability to liaise with senior Front Office as well as other key stakeholders 8. Ability to work independently with minimal supervision, and to excel under pressure for meeting any tight deadlines 9. Good organizational and time management skills, including the ability to prioritize tasks 10. Front-to-Back banking process knowledge 11. Private Banking background and experience 12. Familiarity with MAS FAA and SFA from an Investment Suitability perspective 14. Familiarity with HKMA/HK SFC Guidelines are an advantage

Mumbai

Credit Suisse - Investment Suitability/Investment Advisory - APAC Region 

Credit Suisse - Investment Suitability/Investment Advisory - APAC Region  ,Job Description for Credit Suisse - Investment Suitability/Investment Advisory - APAC Region  in Credit Suisse in  Mumbai for (3-6) years of experience. Apply Now!

Job Description for Credit Suisse - Investment Suitability/Investment Advisory - APAC Region  in Credit Suisse in  Mumbai for (3-6) years of experience. Apply Now!