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About the role
This senior role leads the regulatory and policy compliance and sales governance agenda for Wealth Solutions Singapore, with a focus on the financial advisory framework and all regulatory matters. You will work closely with teams such as Compliance, Legal, Business Risk Management and Client Experience to turn regulatory obligations into practical, sustainable business practices. It suits an experienced banking professional who can influence senior stakeholders and build a strong sales conduct culture.
What you'll do
Lead first-line analysis to interpret, assess and implement changes needed to meet regulatory obligations and internal policies.
Represent SG WSCOO in regulatory forums, change implementation, governance and process transformation initiatives.
Identify opportunities to improve efficiency, consistency and control transparency.
Maintain a forward-looking view of regulatory priorities and translate requirements into business actions, controls and governance routines.
Lead internal first-line thematic and monitoring reviews and commissioned assurance activities, including enhanced safeguards.
Ensure remediation plans are timely, risk-based and able to withstand regulatory, audit and senior management scrutiny.
Collaborate with stakeholders such as Business Risk Management, Compliance, Legal and Client Experience to complete management action plans.
Drive and solve complex policy and governance issues, translating requirements into sustainable sales conduct outcomes through practical processes and digital tools.
Streamline processes to improve compliance outcomes and controls.
Convert findings into remediation, training, process enhancements and governance follow-up.
Provide oversight on risk assessment controls on internal risk types as delegate process owner.
Provide thought leadership, constructive challenge and advice to senior stakeholders on regulatory and policy interpretation, digital tools, sales process and conduct risk.
Influence senior and cross-functional stakeholders, build alignment and develop team capability.
Build partnerships across Wealth Product, Compliance, Legal, Business Risk Management, Operational Risk, Sales Assurance, Audit, business stakeholders and industry bodies.
Set the sales conduct training strategy and curriculum.
Drive regulatory and policy compliance and embed a strong sales conduct culture.
Provide governance and oversight of the training programme.
Use data analytics and insights to shape training interventions.
Set direction and drive high performance by translating strategy into clear direction and aligning individual goals to team outcomes.
Develop talent and capability through coaching and career conversations.
Lead by example by role-modelling the bank's valued behaviours and upholding strong risk and conduct standards.
Good to
Requirements
15+ years' experience in banking or financial services
Experience preferably across Wealth Management, regulatory governance, product or sales governance, compliance, audit, operational risk, or policy/process application
Demonstrated track record in complex cross-functional implementation, reporting and submissions, assurance reviews and conduct governance
Familiarity with local/MAS regulations, particularly FAA and SFA
Experience with regulatory bodies or audit functions is a plus
Bachelor's degree in finance, business or a related field
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