Provide advice to Private Wealth Business Unit and other stakeholders on regulatory matters including but not limited to investment suitability, licensing/ RNF matters, cross-border compliance, Personal Account Dealing, handling of MNPI, regulatory requirements involving SFA, FAA, PB Code of Conduct and other general compliance matters to ensure adherence to internal policies & procedures.
Perform gap analysis on new regulations, regulatory changes, MAS’s Information Papers that impacts the Private Wealth Business.
Assist in the implementation of new regulatory requirements and ensure adherence to these requirements for Private Wealth Department by assisting to update the relevant policies and procedures, controls etc.
Conduct Monitoring & Testing reviews on various regulatory obligations including but not limited to as investment suitability, cross-border compliance, personal account dealing, gift & entertainment, em...
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