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eFinancialCareers

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Risk & Prevention, AVP, Market Conduct Advisory
Key Responsibilities The job holder is responsible on: 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 operationalize regulatory requirements in the most effective and efficient manner. Provide advisory to business partners on compliance matters, including crossborder marketing guidelines. To participate in projects and provide necessary advise in relation to compliance risks. Conduct training to new and existing staff on regul


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