Team Head, Sales Surveillance and Inspection
Team Head, Sales Surveillance and InspectionDevelop a set of surveillance parameters and generate the relevant surveillance reports to monitor the conduct of the various aspects of the consumer banking business. Priority is on monitoring the market conduct relating to the sale of investment products.
Identify potential areas of concerns and work with the respective business units to put in place appropriate corrective actions to address these concerns.
Keep abreast of the emerging threats to the consumer banking business and stay ahead to counter these threats.
Formulate an inspection methodology for both on-site and off-site inspections of the various areas in consumer banking.
Conduct these inspections in an effective manner (using computer assisted techniques to the fullest extent possible) to obtain assurance of the adequacy of the internal control systems.
Lead / participate actively in projects to improve the risk and compliance standards across the consumer banking business.
Manage the team to ensure achievement of key deliverables.
Undertake special projects as assigned by management.
A degree with a minimum of 10 years of audit, risk and control experience in consumer banking, especially in the area of surveillance and inspection.
Strong understanding of the regulatory requirements on all areas of consumer banking.
Good data analytical / data mining skills in extracting and producing meaningful statistical information for effective surveillance and inspection purposes.
Good leadership and interpersonal skills to work with all levels of staff and stakeholders.
Strong written and oral communication.