PB - Control & Surveillances Officer at CTBC Bank

Singapore, , Singapore -

Full Time

Start Date

Immediate

Expiry Date

16 Jun, 26

Salary

0.0

Posted On

18 Mar, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Investment Suitability, Transaction Surveillance Review, Liaison, Risk Management, Regulatory Audits, Post Transaction Review, Irregular Transaction Monitoring, Gap Analysis, Training, Policy Implementation, Team Player, Independent Work, Stakeholder Management, Alert Investigation, English Communication, Mandarin Communication

Industry

Banking

Description

CTBC Bank, Singapore Branch Your Career Our Future Job Purpose: To engage with and advise on issues and matters relating to investment suitability and transaction surveillance review. Key Responsibilities: Act as a liaison party between marketing and internal stakeholders particularly Risk, Credit & LCD. Assist in the handling of internal, external & regulatory audits. Perform post transaction and account review. Assist in the monitoring of irregular transaction. Perform gap analysis between G&P and new regulations. Provide training of internal new or revised G&P and external new regulations to CSOs, ICs, and RMs. Implementation of Investment Suitability and Trade Surveillance Review Framework Policy Guidelines. Ensure timely completion of thematic transaction surveillance issue review. Perform any other ad-hoc duties assigned by supervisors. Key Requirements: Knowledge and experience with Market and Sales & Suitability Abuses preferred. Competency in areas of investment Suitability and Transaction Surveillance review. Interpersonal skills to work as team player. Able to work independently with minimal supervision. Able to work with different stakeholders to investigate alerts/exceptions and recommend improvements. Working knowledge of Singapore regulations, in particular Banking Act, Securities and Futures Act, Financial Advisers Act and Trust Companies Act preferred. Good communications skills (oral, written) in English and Mandarin. Organised and keen eye for details. CTBC Singapore Branch has been in operation since 2009. It has approximately 200 employees across corporate & private banking, and is a key financial hub amongst CTBC branches and subsidiaries in the Asia Pacific region. Originally established as China Securities Investment Corp. in 1966, it was restructured into CTBC Bank Co., Ltd. in 1992, CTBC Bank has been building customers’ wealth and Taiwan’s economy for over half a century now. In that time, it has grown into an international force offering a comprehensive suite of financial services. Guided by the business principles of integrity and caring, our Bank has a proud history punctuated by regular achievements and innovative services. From issuing the first credit card in Taiwan to setting up the first customer service center of any bank in the country, we have led the way in the financial industry’s transformation, particularly by promoting the digitalization of business processes. As of the end of 2023, the Bank’s consolidated assets totaled NT$6.05 trillion, the most among all privately owned banks in Taiwan. It is also the best-performing bank in other indicators, such as profits, tier 1 capital, and client base. Spanning 14 countries and regions, CTBC Bank has the most extensive international presence of any Taiwanese bank, with over 370 outlets worldwide. With a subsidiary, The Tokyo Star Bank, purchased in Japan and CTBC Bank subsidiaries established in the U.S., Canada, Thailand, the Philippines, and Indonesia, the Bank has laid a strong foundation for regional business, providing international enterprises with comprehensive transnational financial services. Furthermore, in support of the Taiwanese government’s New Southbound Policy, the Bank has proactively expanded its South and Southeast Asian business in recent years by leveraging its existing branches in Vietnam, India, and Singapore. It also increased its shareholding in a local Thai operator, LH Financial Group Public Company Limited (LHFG), to 46.6%, making it the largest shareholder of the group. The Bank further obtained more than half of the seats of the Board in October 2021. Meanwhile, in Greater China, the Bank is cultivating business in the Yangtze River Delta Economic Zone and the Guangdong–Hong Kong–Macau Greater Bay Area, with Shanghai at the heart of its expansion into the Chinese market. Together, these advances abroad are providing our customers with a more convenient and comprehensive service network. Looking ahead, we’re determined to continue leading the industry in digitalization, leveraging fintech and Big Data to drive innovation and create entirely new and engaging digital experiences for our customers. We will also continue to expand our efforts in operational performance, corporate governance, corporate social responsibility, and environmental sustainability as we cement our status as “Taiwan Champion, Asia Leader.”

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Responsibilities

The officer will advise on investment suitability and transaction surveillance matters, acting as a liaison between marketing and internal stakeholders like Risk and Credit. Key duties include performing post-transaction reviews, monitoring irregular transactions, and assisting with regulatory audits.