Business Monitoring & Surveillance Associate, Dubai

  • -
  • Dubai, VAE
  • Festanstellung, Vollzeit
  • Bank of Singapore
  • 13 Nov 17 2017-11-13

The incumbent is required to assist in the centralize surveillance function to ensure consistency and scalability in business process and control. He/she is responsible to monitor the conduct and behavior of Front Office and Product Management Group staff. The candidate is expected to provide coaching and training to staff where necessary.

Bank of Singapore opens doors to new opportunities.

Start your career with Bank of Singapore as a Business Monitoring & Surveillance Associate - [Senior Associate / Associate Director]!
At Bank of Singapore, we are constantly on the lookout for exceptional individuals to join our team. We promote a culture of openness, teamwork and fairness. Most importantly, we invest in our people through our programmes that develop them on both professional and personal levels. Besides attractive remuneration packages, we offer non-financial benefits and opportunities to develop your potential within OCBC Group’s global network of subsidiaries and offices. If you have passion, drive and the will to succeed, rise to the challenge today!

Description

• Advise and conduct compliance monitoring & surveillance in compliance with the requirements of BOS Group and local policies and procedures
• Conduct risk-based surveillance program which meets the regulatory requirements and internal policy requirements, primarily on fair dealing practices, client suitability, sales and dealing practices and staff conduct matters. 
• Consolidate and prepare surveillance findings and management reports to Senior Management.
• Present and explain findings and lesson learnt to front office.
• Collaborate with Front Office and Support Functions.
• Manage Senior Management expectation and ensure timely escalation.
• Maintain relevant policies and procedures.
• Participate in internal investigation especially relating to matters concerning staff misconduct issues.
• Continuous enhancement to the monitoring & surveillance procedures and provide guidance to the team including the global offices.
 

Requirements

• Minimum of 3 years of experience in compliance, risk and controls or audit function, preferably in private banking environment.
• Managerial / supervisory experience is a plus.
• Good knowledge of regulatory and compliance requirements such as fair dealing practices and private banking code of conducts.
• High level of integrity, independent, adaptable and committed with high level of initiative.
• Strong analytical and report writing skills.
• Strong interpersonal and professional communication skills.
• Team player.
• Needs to be inquisitive.
• Able to make difficult decision and challenge the status quo.
• Proficiency in MS Excel / Access VBA is a plus.

Qualifications

• University degree or equivalent from a reputable institution

Reports to:

Business Process & Control Director, Dubai, UAE