Assistant Vice President, Surveillance

• May 2022 - Present

• Perform trade surveillance to identify and investigate possible breach of SFA and SGX rules such as insider trading, trading irregularities, market manipulation (spoofing, layering, cross trade, wash trade, marking the close) and unauthorised trading. • Regular work on systems such as Nasdaq SMARTS and Bloomberg. • Liaison with Monetary Authority of Singapore (MAS) and Commercial Affairs Department (CAD). • Perform trade surveillance to identify and investigate possible breach of SFA and SGX rules such as insider trading, trading irregularities, market manipulation (spoofing, layering, cross trade, wash trade, marking the close) and unauthorised trading. • Regular work on systems such as Nasdaq SMARTS and Bloomberg. • Liaison with Monetary Authority of Singapore (MAS) and Commercial Affairs Department (CAD).

Manager - Surveillance, Regulatory Compliance & Quality Assurance

• Jan 2020 - Apr 2022

Consumer Business Operational Risk & Control (CBORC)- Lead a team of Compliance Analysts to ensure timeliness closure of surveillance alerts- Piloting of new Surveillance with in depth analysis of compliance procedures, UATs and implementation within Invictus SMARTS system- Overseeing the migration of sales and trade surveillance reviews from offline (excel) to online (Invictus SMARTS system)- Ensuring Surveillance methodology and parameters are kept up to date according to regulatory requirements - Investigation of internal/external guideline discrepancy cases, reporting to respective stakeholders under regulatory standards (BSC, FDG, BIC, ISC, Sales Practice)- Surveillance Alerts are generated in a timely and accurate manner-Act as a liaison between units such as Internal Audit (IA) and Independent Country Risk Management (ICRM) Show less

Assistant Manager, Surveillance & Compliance

• Apr 2019 - Jan 2020

Sales Compliance Analyst (Product)

• Oct 2017 - Apr 2019

Job Responsibilities:-Report and document of review findings, corrective actions tracking and follow-up actions-Prepare trend analysis and surveillance reports for management reporting.-Provide feedback and coaching on correct phone sales process to Sales Representatives-Provide feedback and coaching on surveillance process and methodology to surveillance analysts in offshore market-Provide consultations to other internal departments on sales process and branch operational matters-Report and document the Quality of Work report of Sales Representatives.-Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, through automation, leveraging on internal system (INVICTUS) capabilities and to address process/ compliance gaps-Conduct quarterly self-assessment on Branch Sales and Customer Service processes-Review and update of policies and department procedures-Implementation of processes and procedures on compliance matters-Training to Sales Representatives on new compliance procedure and processes Show less

Relationship Manager

• Oct 2016 - Oct 2017

Corporate Rank: Analyst Job Responsibilities: 1. Provide one-stop financial advisory at the bank branches to customers through cross-selling wealth management products that include insurance, structure deposits, loans and unit trusts 2. Conduct regular meetings with existing and potential customers to assess their banking needs 3. Develop and strengthen long-term relationships with customers by providing excellent customer service Achievement/Award: 1. DBS/Manulife Rising Elite *12 Regular Premium Cases or 100k APE in first 3 months. Show less

Administrative Specialist

• Mar 2014 - Jun 2015

Training Specialist attached under the Training Coordination Branch. Training Specialist attached under the Training Coordination Branch.

Administrative Support Associate

• Sep 2012 - Nov 2012

Prudential Singapore, an indirect wholly-owned subsidiary of UK-based Prudential plc, is one of the top life insurance companies in Singapore. We have been serving the financial and protection needs of Singaporeans for 85 years. Our focus is to bring well-rounded financial solutions to customers through our multi-channel distribution network, with product offerings in Protection, Savings and Investment. We are one of the market leaders in Protection, Savings and Investment-linked plans with S$29.4 billion funds under management as at 30 June 2016. In 2014, we were awarded an AA Financial Strength Rating by leading credit rating agency Standard & Poor’s. Show less