- Conduct surveillance on investment suitability, anti-fraud and other control reviews.
- Perform independent transaction review and testing, including voice log listening of trades and customer instructions.
- Escalate non-compliance findings to stakeholders and follow up on remediation to ensure proper closure.
- Prepare management reports and present to stakeholders.
- Support independent control activities, including witness call-back process, best execution, account reactivation, static data changes and other required disclosures to customers.
- Provide advisory to Front Office on key controls relating to investment suitability, anti-fraud and related domains.
- Support Business, Operational Risk Management & Surveillance to assess feasibility and implementation implications for new global policy or regulations.
- Maintain updated business surveillance procedures and processes.
- Participate in projects/initiatives (when required)
- Good spoken and written English and Mandarin, good listening in Cantonese
- Tertiary education in Finance and Business.
- Fluent in using Microsoft applications (Excel, Word, Outlook, etc.)
- Strong verbal, written and interpersonal communication skills.
- Demonstrated attention to detail coupled with good problem solving skills; analytical and numeric reasoning skills.
- Cantonese speaking, reading and writing.
- 2 to 4 years of related experience preferably in Wealth Management or Business Risk Management within the banking industry
- Prior experience in performing surveillance on investment suitability/fraud related areas or in compliance/audit function an advantage
- Knowledge in MAS/SFC/HKMA regulatory requirements.
- Experience in managing multiple competing deadlines and manual processes in a fast pace environment.
- A comprehensive Total Rewards Program including performance based bonuses, flexible benefits, and competitive compensation
- Leaders who support your development through coaching and managing opportunities
- A world-class training program in financial services
- A collaborative dynamic culture where personal initiative and hard work are recognized and rewarded
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Analyst, Business Surveillance - Cyberjaya, Malaysia - Royal Bank of Canada
Description
Job Summary
Job Description
What is the opportunity?
Our client is a specialist provider of asset services, custody, payments and treasury services. Founded in 1864, they are the 10th largest bank worldwide and the 5th in North America, as measured by market capitalization. They are among a small group of highly rated global banks and are recognized time and time again for our financial strength, market leadership and philanthropic work.
Our client has a processing centre of operational excellence supporting 10 countries across three geographical time zones employing a Global Operating Model to maximise efficiencies across times zones and supports a 24/5 operational capability. The objectives for Malaysia are to enhance the scalability of their global operations, improve service quality via their 'centres of excellence' and to implement/leverage standardised processes globally.
Working hours : 9am-6pm
Region : APAC
What will you do?
What do you need to succeed?
Must-have
Nice-to-have
What's in it for you?
Our Client thrive on the challenge to be their best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. Our Client care about each other, reaching their potential, making a difference to their communities, and achieving success that is mutual.
Job Skills
Audits Compliance, Cantonese, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Mandarin Chinese Language, Product Services, Risk Management, Strategic ThinkingAdditional Job Details
Address:
PERSIARAN APEC:CYBERJAYACity:
CyberjayaCountry:
MalaysiaWork hours/week:
40Employment Type:
Full timePlatform:
Wealth ManagementJob Type:
RegularPay Type:
SalariedPosted Date:
Application Deadline:
Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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