Front Office Risk & Compliance Lead (1LOD) – Singapore

LGT Crestone Wealth Management Limited; Singapore; On-site; SGD 180,000 - 280,000; Full time

Job summary

LGT Bank (Singapore) Ltd. is seeking a seasoned risk/compliance professional to act as the first line of defense for suitability and selling processes in the Front Office, Singapore.

The role emphasizes strengthening controls, regulatory surveillance, and targeted trainings to ensure compliant execution of trading and client interactions. Responsibilities include monitoring regulations, conducting trade reviews, and collaborating with Compliance and Audit teams.

Qualifications

• Bachelor’s degree in accounting, business, finance or cyber security.
• 7 to 12 years of experience in Private Banking risk, internal controls or compliance.
• Hands-on knowledge of regulatory requirements for suitability and selling processes and relevant regulations.
• Experience in dealing with regulatory audits and remediation work.
• Strong understanding of email protocols, encryption and data security principles.
• Familiarity with email surveillance tools and software.
• Presentable personality with strong interpersonal communication with senior bankers and management.
• Proficiency in MS Word, Excel and PowerPoint.
• Team player and detail oriented.

Responsibilities

• Act as the First Line of Defense (1LOD) to identify and monitor potential issues for suitability and selling process within the Front Office, Singapore.
• Strengthen and implementation of management controls in suitability and selling process.
• Provide practical guidance/trainings to Front Office on suitability and selling process.
• Closely monitor the new regulations issued by the regulators and translate the regulatory expectations into controls within the business processes.
• Conduct trade monitoring and thematic review of Front Office activities, advise on appropriate rectifications and prepare reports for management attention.
• Participate in system and management projects related to enhancing the control landscape for the suitability and selling process.
• Monitor and analyse employee emails to detect fraud, data leakage, and policy violations.
• Investigate and escape suspicious communications with relevant stakeholders.
• Maintain surveillance procedures and provide management reporting on findings.
• Act as business liaison with other departments e.g. Compliance, Auditors, etc.

Skills

Regulatory compliance

Risk management

Regulatory audits

Email security

Communication skills

Team player

Education

Bachelor’s degree

Tools

MS Word

MS Excel

MS PowerPoint

Job description

LGT Bank (Singapore) Ltd. is seeking a seasoned risk/compliance professional to act as the first line of defense for suitability and selling processes in the Front Office, Singapore.

The role emphasizes strengthening controls, regulatory surveillance, and targeted trainings to ensure compliant execution of trading and client interactions. Responsibilities include monitoring regulations, conducting trade reviews, and collaborating with Compliance and Audit teams.