Your new company
Client is a top tier investment bank, located in Singapore. They are currently expanding their business and looking for a Business Risk Specialist to join their fast and moving team.
Your new role
You’ll be working in Front Line Support (FLS) team locally report into the Wealth Management APAC Business Risk Organization (BRO) team. As 1st Line of Defense in the Control Framework structure, we execute Controls checks (ex-post) on our Origination Units.
We are looking for a high caliber individual with these qualities to assist the following:
- To perform control reviews in order to assess cases which do not meet the Investment Suitability disclosure requirement
- Reviews will be time critical and required to be performed in line with a newly agreed control review methodology which includes review of front office communications with clients, including (i) detailed email review, (ii) detailed review of internal contact notes / call reports, and (iii) if required, tape listening. Other review methods may be deployed and may be pre-agreed with supervisor
- To carefully document the review approach, comprehensively document the review findings and provide a final assessment / conclusion for cases requiring discussion or escalation
- Become a subject matter expert ('SME') on the control, giving considered feedback on how the control is operating and if and how over time it may be improved
- A strong team player, positive attitude and
- Assist the Supervisor with other control tasks & provide trainings to the team members as and when required.
What you'll need to succeed
- 5+ years of knowledge or background in risk, controls, investigations, compliance, audit and/or legal in the investment banking industry
- Must be able to speak fluent English and Cantonese as you will be working with Hong Kong counterparts as well to perform tape listening
- Good knowledge of wealth management financial products and services (FX/Derivatives/Dual Currency/mutual fund/bonds/equity)