General Compliance, Assistant Manager (PWM)

about the company

Our client is a leading Regional Bank in APAC. Well-known for their Private Banking and Corporate Banking business

about the job

• Monitor and advise Private Wealth Management activities in compliance perspective
• Conduct investment suitability assessments and review product due diligence
• Provide training to front line staff on investment suitability and increase risk awareness & compliance culture. Topics covering material amend/cancel/re-book check, upward post-trade amendment check, order taking process for investment products etc
• Review selling practice and marketing materials
• Assist in bank-wide compliance projects and initiatives for Private Wealth Management business

skills & experiences required

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