- BBBH782623 May 18, 2021 S$5-9k pm
My client, leading securities firm is hiring for a Compliance Monitoring & Testing expert to support its Private Wealth management arm.
Compliance Monitoring and Testing Officer (AVP/VP Level)
Morgan Mckinley is working in partnership with a reputable securities firm to support its Private Wealth arm. The organisation is rapidly growing and on track to meet its year targets.
This role reports into the Head of Private Wealth management and is a compliance monitoring and testing opportunity, to work in a lean team.
Interesting opportunity to step up your compliance career and widen your exposure/knowledge.
- Checks adherence to framework, policies, procedures, and manuals
- Work closely with the other team members in maker/checker tandems
- Performs quality checks for AML/CFT/Sanctions: KYC onboarding and periodic review, clearance of alerts in screening and monitoring tools.
- Reviews and assesses transactions against ML/FT/Sanctions and market manipulation risks.
- Performs controls of personal account dealings, gifts & entertainments, cross-border, email monitoring, accredited investor status, etc
- Handle the filing and archiving of documents in relation to Monitoring & Testing
- Liaising with external vendors for testing tools matters
- Performs reviews of parameters and functionalities of monitoring systems
- Prepare training materials and deliver training
- Prepares documents (control, memos, etc) for submission to management
- The positions may offer exposure to other areas of compliance (AML/CFT/Sanctions/ABC, regulatory advice, investigations) as well as other ad hoc tasks.
The Successful Applicant
As a successful applicant, you would have the following skills & qualifications:
- Five years of experience in a monitoring/testing function with an exposure to the Private Banking industry
- Private Banking/ Wealth management experience is essential
- Exposure to AML compliance
- Open to auditors
- Able to spot issues and propose solutions
- Excellent team player, customer oriented, positive, curious, and energetic
- Able to work well with the front office
If you're interested in this role, please send your updated CV (word format) to firstname.lastname@example.org for a confidential discussion
Referrals are greatly appreciated.
Morgan McKinley Pte Ltd
EA Licence No: 11C5502
Registration No: R1770166
Registration Name: Suhani Malhotra
Only shortlisted candidates will be responded to, therefore if you do not receive a response within 14 days please accept this as a notification that you have not been shortlisted.
+65 6818 3174