Front Office Risk & Compliance Specialist (1LOD)

LGT Group; Singapore; On-site; SGD 140,000 - 190,000; Full time

Benefits offered by this job

Parental leave

Marriage leave

Annual leave

External training support

Study leave

Staff referral program

Employee assistance program

Job summary

LGT Group in Singapore seeks an experienced risk and compliance professional to act as the First Line of Defense for suitability and selling processes within the Front Office. You will strengthen controls, provide practical guidance, and translate regulations into business processes.

With 7–12 years in private banking risk or compliance, you will monitor regulatory developments, conduct trade monitoring, lead audits remediation, and collaborate with Compliance, Auditors, and other departments.

Qualifications

• 7 to 12 years of experience in Private Banking business risk, internal controls or compliance areas.
• Hands on knowledge in regulatory requirements of suitability and selling process and relevant regulations and compliance standards (e.g. GPDPR, PDPA etc.)
• Experience in dealing with regulatory audits and in ensuing remediation work.
• Strong understanding of email protocols, encryption methods, and data security principles.
• Familiarity of email surveillance tools and software.

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 elevate 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

Interpersonal communication

Detail oriented

Proactive

Presentation

MS Word

Education

Bachelor's degree in accounting/business/finance/cyber security

Tools

MS Excel

MS PowerPoint

Job description

LGT Group in Singapore seeks an experienced risk and compliance professional to act as the First Line of Defense for suitability and selling processes within the Front Office. You will strengthen controls, provide practical guidance, and translate regulations into business processes.

With 7–12 years in private banking risk or compliance, you will monitor regulatory developments, conduct trade monitoring, lead audits remediation, and collaborate with Compliance, Auditors, and other departments.