About the role
Mid-level role focused on post-transaction surveillance of wealth sales activities to ensure compliance with MAS regulations and internal standards. The analyst reviews sales transactions for suitability and misconduct, investigates flagged cases, and drives remediation through data-driven insights and stakeholder engagement.
BankingOnsite
Key Responsibilities
- Conduct surveillance on Wealth Sales processes to ensure compliance.
- Assess conduct and sales practices against regulatory guidelines.
- Analyze transactions to identify potential risks or breaches.
- Challenge front-line explanations with a strong risk mindset.
Requirements
- Prior experience (3 - 5 years) in Conduct Risk Control / Assurance / Compliance / Audit functions covering Retail / Wealth Advisory and Sales Processes
- Strong and practical knowledge of MAS FAA regulations or guidelines, including FAA N16, G10, N03, N20 / G14, N14, and FSG G01
- Good understanding of Retail Wealth products, such as investments, insurance, FX, bonds, and structured products
- Strong risk and control mindset with sound judgment in assessing conduct and sales practices
- Curious, analytical, and able to independently challenge front line explanations
- Good written and verbal communication skills, with the ability to engage and influence stakeholders