Assistant Vice President, Market Conduct Advisory & Analytics

Competitive salary
20 Sep 2019
01 Oct 2019
Approved employers
Approved employer
Job role
The job holder is responsible for :

Data Analytics
  • Develop data analytics to monitor / detect potential anomalies relating to sale of investment products and operational risks
  • Design processes to handle such anomalies
  • Identify control gaps, assess the extent of compliance with laid down processes/policies/guide and opportunities for improvement
  • Document reports on reviews/analysis performed
  • Keep abreast of all developments in the sales and operational risk, as well as regulatory environment and collaborate with business units to adopt best practices for supervisory monitoring.

Sales Advisory

  • A good knowledge of the regulations governing the sale of investment products to retail customers (e.g. Financial Advisers Act, Securities and Future Act, MAS Fair Dealing Guidelines and the regulatory changes arising from the Financial Advisory Industry Review).
  • Work with the business partners in consumer banking to define / re-define the framework to meet the regulatory requirements in the most effective and efficient manner.
  • Provide advisory to business partners on compliance matters.
  • To participate in projects and provide necessary advise in relation to compliance risks.
  • Conduct training to new and existing staff on regulatory and operational requirements relating to the sale of investment products.
  • Provide independent review of customer complaints relating to investment products.
  • Prepare management reports to update senior management on the extent of the business' delivery of the fair dealing outcomes.


Educational and Work Experiences:
Degree holders

Technical skills:
  • Minimum 3 years of experience in regulatory compliance, surveillance review and /or Audit in retail banking.
  • Past experiences in audit/compliance/risk management is preferred.
  • Collaborate with the relevant stakeholders to adopt best industry practices

Personal Traits:

  • Good communication and inter personal skills, with experience of dealing with stakeholders at all levels
  • Good problem solving and analytical skills, with the ability to make well judged decisions
  • Effective planning and ability to prioritize work to achieve objectives within the required timelines
  • Able to work independently as well as a team player

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