Front Office Risk & Controls Specialist

LGT; Singapore; On-site; SGD 70,000 - 100,000; Full time

Job summary

LGT in Singapore seeks a Front Office compliance professional to act as the first line of defense for suitability and selling processes. The role involves strengthening controls, training Front Office on compliance procedures, and translating regulator expectations into practical world-views.

The position also covers trade monitoring, project participation to enhance the control landscape, and ongoing surveillance reporting to management. Collaboration with Compliance and Audit is required.

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.

Job description

LGT in Singapore seeks a Front Office compliance professional to act as the first line of defense for suitability and selling processes. The role involves strengthening controls, training Front Office on compliance procedures, and translating regulator expectations into practical world-views.

The position also covers trade monitoring, project participation to enhance the control landscape, and ongoing surveillance reporting to management. Collaboration with Compliance and Audit is required.