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Vice President, 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 resul


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