AVP, Specialist, Sales Surveillance, Private Banking
1 week ago
Job Summary
DBS Bank is seeking a highly skilled Sales Surveillance Specialist to join our Private Banking team. As a key member of our team, you will be responsible for conducting surveillance on sales activities, identifying internal control weaknesses, and implementing necessary rectifications or changes in control procedures.
Key Responsibilities
- Conduct surveillance on sales activities, including pre-trade, post-trade, and ongoing monitoring of the investment sales process to assess the quality of sales activities and adherence to proper standards and procedures.
- Conduct periodic portfolio reviews and ad hoc P&L quarterly reviews to ensure compliance with regulatory requirements.
- Perform close supervision reviews and other ad hoc reviews as needed to identify areas for improvement.
- Work closely with the Front Office and Management on control-related matters to ensure corporate standards and regulatory requirements are met.
- Access and identify internal control weaknesses to implement necessary rectifications or changes in control procedures.
- Liaise with various control and support units on the review, update, and implementation of policies, procedures, and control measures to ensure compliance with regulatory requirements.
- Support Speech Analytics on-going maintenance and development.
- Conduct regular sales process trainings to sales staff and new joiners.
- Prepare management reports and presentations on sales process quality on a regular basis.
- Take part in ad hoc projects to provide input from a control perspective on building the business and operational process.
- Supervise the implementation of business and control process improvements within the team and business unit.
Requirements
- Degree holder preferably in Business, Finance, Accounting, Economics, or related disciplines.
- At least 4 years of relevant work experience in the financial industry, preferably with field experience in risk management, internal audit, or compliance.
- Good understanding of relevant HKMA and SFC rules, regulations, practices, and guidelines is preferred.
- Good knowledge of private banking products.
- Possess good interpersonal and communication skills.
- Self-motivated, enthusiastic, organized, and ability to multi-task.
- Able to work independently and part of a team.
- Meticulous with good analytical skills.
- Proficiency in MS Office Word, Excel, and PowerPoint.
- Fluent in Cantonese, English, and Mandarin.
About DBS Bank
DBS Bank is a leading financial services group in Asia, with a proven track record of innovation and excellence. We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
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