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Barclays

London, United Kingdom

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Morgan McKinley, EA Licence No: 11C5502

Singapore, Singapore

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Writers Theatre

Glencoe, Illinois

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PIMCO

Toronto, Canada

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Indiana University Purdue University Indianpolis - IUPUI Logo
Indiana University Purdue University Indianpolis - IUPUI

Bloomington, Indiana;Indianapolis, Indiana,

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NatWest Group

Edinburgh, United Kingdom

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Selby Jennings

London, United Kingdom

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Morgan McKinley

Singapore, Singapore

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PIMCO

Newport Beach, California

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Selby Jennings

Singapore, Singapore

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Goodman Masson

London, United Kingdom

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State Street Corporation

Singapore, Singapore

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eFinancialCareers

New York, New York

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Head, Market Conduct Compliance
Key Responsibilities Implement and maintain surveillance programs and activities with the objectives of detecting mis-selling and/or non- adherence to designed sales processes for retail customers. This is to meet the standards mandated by the Authority in relation to FAA N20 independent sales audit requirements. Implement and maintain surveillance programs and activities guided by the Private Banking Sales and Advisory Practices for Accredited Investors [Premier Private Clients] to meet fair dealing principles. Perform root cause analysis for purpose of identifying early warning signals and emerging risks, propose actions and work closely with stakeholders to address the issues identified as a risk mitigant. Drive timely reporting of results to t


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