Team Leader, KYC / Control & Surveillances

RESPONSIBILITIES:

New Account & KYC periodic review and approval. Assist in the review and gap analysis of MAS and HKMA consultation papers and new regulations.
Assist in the handling of internal, external & regulatory audits
Perform in depth review of any potential AML/CFT related issues identify by LCD.
Act as a liaison party between marketing and internal stakeholders particularly Risk, Credit & LCD.
Assist in the monitoring of irregular transaction.
Provide training of internal new or revised G&P and external new regulations to CSOs, ICs, and RMs
Ensure that the Investment Suitability and Trade Surveillance Review Framework is kept up to date with the regulatory requirements
Ability to effectively and independently identify key sales advisory issues that may pose regulatory issues or reputational risk to the Bank
Ensure timely completion of thematic transaction surveillance issue review by the team members
Perform any other ad-hoc duties assigned by supervisors

REQUIREMENTS:

Min 10 years of relevant or banking experience focusing on KYC/AML reviews, transaction monitoring and investment suitability review.
Experience in private banking industry
Ability to lead and mentor a team
Working knowledge of Singapore regulations, in particular Banking Act, Securities and Futures Act, Financial Advisers Act and Trust Companies Act.

SEARCH ALLY PTE LTD | [EA License Number] 18C9289 | [Registration Number] R1551292

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