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.
Act as the First Line of Defense (FLD) 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.
Act as business liaison with other departments e.g. Compliance, Front Supervisors, Auditors, etc.
Bachelor’s degree in accounting/business/finance
At least 10 years of experience in Private Banking business risk, internal controls or compliance areas.
Hands on knowledge in regulatory requirements of suitability and selling process.
Experience in dealing with regulatory audits and in ensuing remediation work.
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