AVP, Specialist, Sales Surveillance, Private Banking

Business Function

DBS’ Private Banking offers a one-stop, full-service touch-point for total banking requirements and provides the highest level of personalised banking. We have a team of dedicated, experienced investment advisors who identify opportunities in the various asset classes and employ the best strategies and product vehicles to cater to each client’s needs. Coupled with partnerships within the DBS network and with global institutions, we strive to build long-term relationships with our Private Banking clients in Asia by providing them with high quality, timely and extensive wealth management, investment and financial solutions.

Responsibilities

Conduct surveillance on sales activities, including pre-trade, post-trade and on-going monitoring of the investment sales process to access the quality of sales activities and adherence to proper standards and procedures

Conduct checking on periodic portfolio review and ad hoc P&L quarterly review

Perform close supervision reviews and other ad hoc reviews as needed

Work closely with the Front Office and Management on control related matters to ensure corporate standards and regulatory requirements are met

Access and identify internal control weaknesses to implement necessary rectifications or changes in control procedures.

Liaise with various control and support units on the review, update and implementation of policies, procedures and control measures to ensure compliance with regulatory requirements

Support Speech Analytics on-going maintenance and development

Conduct regular sales process trainings to sales staff and new joiners

Prepare management reports and presentations on sales process quality on a regular basis

Take part in ad hoc projects to provide input from a control perspective on building the business and operational process

Supervise the implementation of business and control process improvements within the team and business unit

Other duties and responsibilities as assigned by supervising manager

Requirements

Degree holder preferably in Business, Finance, Accounting, Economics or related disciplines

At least 4 years of relevant work experience in the financial industry.Preferably with field experience of risk management, internal audit or compliance.

Good understanding of relevant HKMA and SFC rules, regulations, practices and guidelines is preferred.

Good knowledge of private banking products

Possess good interpersonal and communication skills

Self-motivated, enthusiastic, organized and ability to multi-task

Able to work independently and part of a team

Meticulous with good analytical skills

Proficiency in MS Office Word, Excel and PowerPoint.

Fluent in Cantonese, English and Mandarin

Apply Now

We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.

We regret only shortlisted candidates will be notified.