The bank for a changing world

Senior Compliance Officer - Investment Suitability & Trade Surveillance, Wealth Management


Standard / Permanent



Job function






  1. Participates in New Activity, Product & Exceptional Transaction Approval Committee as Compliance representative
  1. Perform the review of the procedures and policies covering the product or activity to ensure that they comply with all laws and regulations and also by making sure that the product or service as well as the marketing media are suitable for the proposed client targets, including ensuring client interests are protected
  1. Providing product and general advisory to the Investment Services team in Singapore
  1. Participates in product review committees to ensure that new activities are conducted in line with regulations, industry best practices and internal policies
  1. Reviewing product materials, including research to ensure that they are in line with regulations, industry best practices and internal policies
  1. Maintenance and execution of the suitability policy and framework, helping to make suitable adjustments in line with regulatory developments
  1. Performing surveillance testing and second level review on suitability and market abuse exceptions
  1. Performing review and assessment of equities and fixed income trades requiring Compliance approval
  1. Involvement in projects to improve policies, procedures or systems that are relevant from investment perspective

Technical and Behavioral Competencies required


  1. Relevant experience in performing Compliance reviews of new products and new activities process
  2. Relevant experience in investment and product advisory in Compliance in Wealth Management or Investment Banking (minimum 5 years)
  3. Familiar with investment suitability as well as suitability surveillance
  4. Good communication skills, able to engage and advise Front Office
  5. Good knowledge of Wealth Management investment products
  6. Relevant professional qualifications (CFA or FRM equivalent qualifications preferred)