Business Monitoring (Banking / Client Suitability Check / 6 months contract) - #1102422

Job Description:

We are seeking a Business Monitoring Analyst for a 6-month contract to conduct targeted reviews on front-office activities, with a strong focus on client suitability, sales practices, and staff conduct.

This role is not focused on KYC onboarding, AML operations, or general compliance support. We’re looking for someone with direct experience reviewing advisory activities and ensuring adherence to suitability standards and regulatory expectations within a regulated financial institution.

Key Responsibilities:

• Conduct thematic and risk-based reviews on client suitability checks and investment advisory activities

• Review and assess sales and dealing practices, ensuring they meet internal and regulatory standards

• Monitor staff conduct, identifying potential breaches or non-compliant behaviors

• Provide insights and recommendations to enhance control frameworks and front-line governance

• Conduct suitability, sales practice, and conduct reviews – not a KYC or AML operations role.

• Work closely with senior management, front office, and internal stakeholders

Requirements:

• Bachelor’s degree in Finance, Business, or related field

• Minimum 2–4 years of experience in suitability monitoring, sales review, or conduct surveillance

• Proven track record in conducting reviews of client advisory and sales activities

• Strong understanding of suitability frameworks, product advisory processes, and regulatory expectations

• Meticulous and analytical, with strong writing and stakeholder engagement skills

• Able to work independently in a fast-paced and regulated environment

For candidates who do not wish to apply via the site and would still like to apply in a P&C manner, please send in your resume to [email protected]

Charterhouse Resources Pte Ltd (13C6338)

Nix Bo R24123586