Front Office and Product Compliance Manager
Front Office Compliance
Our client is a well-established Global Bank looking to hire an experienced individual at manager level. This is a very interesting role, which requires a good understanding of sales structured products' knowledge and compliance advisory background.
You will interact with top management people at the senior level and will advise them as a subject matter expert.
Your job responsibilities will be to:
- Conduct Operational Audits, monitoring agents' sales conduct and practices.
- Provide compliance support and advice to senior stakeholders to prevent conduct risk
- Supervise the complaints investigation process
- Assist in running adequate products and behaviour training to the team
To qualify, individuals must possess :
- Minimum 10+ years' significant practice in product compliance, compliance advisory, audit or control testing.
- Proven track record dealing with sales people, market integrity and misconduct matters, risk conduct.
- Strong product knowledge and regulatory knowledge related to global markets, wealth management, corporate banking and transaction banking.
If your profile meets the requirement above, feel free to apply directly or contact me for further information.
Kindly note that only successful candidates will be contacted.
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