Toa Payoh - 12 Months Risk & Compliance Analyst (Transition from Audit) #EEF

1. Act as an internal controller under the Operational Control (OPC) framework for Wealth Management covering both Hong Kong & Singapore, following the control guidelines and methodologies provided by the Group / Head Office / Regional OPC management.
2. Perform Key Surveillance Points (KSP controls) related to the subject matters addressed by his/her Domain in compliance with the Control Plan, under the supervision of the Domain Lead. Note: KSPs are assigned to 3 Domains under Perm Controls and executed by controllers under respective Domains.
3. raw data & information and gather relevant information from internal stakeholders to perform the preparatory works (i.e. data analysis, sampling selection, test steps conduct the tests and data analysis to assess the adequacy and effectiveness of the system of the internal controls.
4. When performing KSP controls, assess the quality of the internal processes and procedures in relation to the subject matter covered by the KSPs, adopting a risk-based approach. Ensure the consistency and compliance of operational activities falling under the scope of the KSPs. Analysis work will involve making reference to internal policies, information from various internal sources (including IT systems), previously detected cases / escalated alerts. For cases requiring further clarification, the controller is required to communicate with the relevant internal stakeholders to obtain previsions or justifications.
5. In case of detection of breaches with internal processes and procedures, investigate the root cause of the deviation and propose relevant remediation actions, in collaboration with the internal stakeholder involved as well as the Domain Lead.
6. Ensure proper and detailed documentation of the control preparation (including sampling), execution and results.
7. Provide reporting to the Domain Lead, the Head of Permanent Controls WM APAC, the Head of Conduct & Control WM APAC and the management of WM APAC on the overall level of risk and outcome of KSP controls.

Elsa Fontanne (CEI No. R24124496)

Email Address: elsa@recruitexpress.com.sg

Recruitment Consultant

Recruit Express Pte Ltd / EA Licence No: 99C4599

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