About the job

You will conduct surveillance reviews in an accurate and timely manner as part of the Surveillance team within Business Risk Management (“BRM”) under the Risk Management Function.

You will follow up closely with the completion of reviews and collaborate closely with stakeholders. Able to demonstrate a clear thinking process in raising observations and supporting with evidence of fact-finding and assessment, you will conduct surveillance reviews in accordance to the BRM Surveillance Methodology to review on front office and/or other staff’s compliance with the Bank’s policies and procedures, as well as regulatory requirements including SFA/FAA requirements, MAS Notices and Guidelines, Fair Dealing Guidelines and Private Banking Code of Conduct.

You will engage with the front office and/or other staff to ensure end-to-end completion of surveillance reviews through clear fact finding and rectification by front office and/or other staff of any observation noted. Collaborating with stakeholders including Business Management, Compliance, Operational Risk and Product Management Group, you will consolidate and prepare surveillance findings and management reports to the Senior Management. You will highlight findings and lessons learnt to the relevant front office and/or other staff through the conduct of surveillance reviews with observations noted.

You will provide support to the line manager and ensure timely escalation, as well as participate in changes for internal BRM Surveillance reviews methodology. You will participate in projects and/or process improvements to enhance the effectiveness and efficiency of BRM Surveillance and will contribute in information gathering during audit reviews.

  • University degree or equivalent from a reputable institution
  • At least 6 – 8 years of Private Banking surveillance experience
  • QA experience in a surveillance compliance related function is preferred
  • Possess good knowledge of regulatory and compliance requirements, such as Fair Dealing practices and Private Banking code of conduct
  • High level of integrity, independent, adaptable and committed with high level of initiative
  • Strong analytical and writing skills
  • Strong interpersonal and professional communication skills
  • Well organized and a team player with a positive can-do attitude
  • Ability to guide peer teammates
  • Ability to work well under stress when challenged on highlighted observations
  • Possess excellent Excel and PowerPoint skills


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