- Escalation and Reporting: assisting the accumulation of monthly management reporting and ad hoc regulatory reporting. Escalate to supervisors for dubious cases.
- Investment suitability: liable for observing pre- and post- trade suitability of investments as well as for portfolio and investment holdings audit.
- Training / Procedures: Provide training to Front Office and development of Operating Procedures.
- Risk disclosures: answerable for observing compliance with pre-trade risk disclosures provided to clients by the Front staff
- Ad-hoc investigations: responsible to conduct ad-hoc investigations (for example in case of internal or external complaints) relevant to the investment risk areas.
- University degree preferably in Law/Finance/Accounting/Business;
- At least 2 years of solid experience in professional practice and/or the Private Banking sector, preferably in suitability monitoring/controlling area.
- Sound knowledge of the operations of the securities market and/or financial and investment industry/products;
Please state your availability and current and expected salary in the resume in words format.
To learn more about this opportunity, please contact Ujun Tan at Ujun.email@example.com
We regret that only shortlisted candidates will be notified.
GMP Technologies (S) Pte Ltd | EA Licence: 11C3793 | EA Personnel: Ujun Tan | Registration No: R1988538