Acts as the first line of defense for suitability and selling processes within Singapore’s Front Office. The role strengthens controls, monitors regulatory developments, conducts trade monitoring and thematic reviews, and supports remediation and management reporting. It also performs email surveillance to identify fraud, data leakage, and policy violations, investigates suspicious communications, maintains surveillance procedures, and collaborates with Compliance, auditors, and other stakeholders.
LGT is the largest Private Banking and Asset Management group in the world to be owned by an entrepreneurial family. As the family office of the Princely House of Liechtenstein, we have years of experience in the management of sizeable sums of assets.Job Description
- Act as the First Line of Defense (1LOD) to identify and monitor potential issues for suitability and selling process within the Front Office, Singapore.
- Strengthen and implementation of management controls in suitability and selling process.
- Provide practical guidance/trainings to Front Office on suitability and selling process.
- Closely monitor the new regulations issued by the regulators and translate the regulatory expectations into controls within the business processes.
- Conduct trade monitoring and thematic review of Front Office activities, advise on appropriate rectifications and prepare reports for management attention.
- Participate in system and management projects related to enhancing the control landscape for the suitability and selling process.
- Monitor and analyse employee emails to detect fraud, data leakage, and policy violations.
- Investigate and escalate suspicious communications with relevant stakeholders.
- Maintain surveillance procedures and provide management reporting on findings.
- Act as business liaison with other departments e.g. Compliance, Auditors, etc.
- Bachelor’s degree in accounting/business/finance/cyber security
- 7 to 12 years of experience in Private Banking business risk, internal controls or compliance areas.
- Hands on knowledge in regulatory requirements of suitability and selling process and relevant regulations and compliance standards (e.g. GPDPR, PDPA etc.)
- Experience in dealing with regulatory audits and in ensuing remediation work.
- Strong understanding of email protocols, encryption methods, and data security principles.
- Familiarity of email surveillance tools and software.
- Presentable personality, strong interpersonal communication skills especially with senior bankers and management levels.
- Solution driver and proactive in finding alternatives to solve issues.
- Proficiency in MS Word, MS Excel and MS Powerpoint.
- Team player and detail oriented
We are looking forward to receiving your online application.
For any further information please do not hesitate to contact us!
LGT Bank (Singapore) Ltd.Human Resources
En Hui TeoLGT Private Banking Singapore, Singapore, SGP Office
3 Temasek Avenue, Singapore, Singapore, 039190
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