Peng Seng Chua Email & Phone Number

Singapore

• Control OfficeGovernance
• Oversee procedures adherence by sales staff, including Trade Surveillance, Client Asset Transfers, Client Data Change, Cross Border, Call Report Review, Best Execution Review, Email Surveillance.
• Investment Suitability Framework, implementation of post monitoring review framework, and Portfolio Review requirements.
• Implementation of new regulatory control requirements and/or operational risk events.
• Guidance and support to sales staff on exception handling matters, including managing client exception requests, process and system related issues.
• Established Review Sampling Methodology Framework.

Singapore

• Business Management (Private Bank)
• Oversee Sales Suitability Review.
• Monitored large trade transactions.
• Monitored marketing of funds by Dubai sales staff.

Singapore

• Head of Business Control (Private Bank)
• Established and headed Business Control Team responsible for continuous monitoring of activities of sales staff to ensure adherence of internal policies, regulatory requirements and Head Office’s IMMUNE Control.
• Constructed firm’s Control Framework.
• Developed Investment Suitability Framework.
• Implemented and performed control reviews, which include Client Asset Transfers, Change of Client Contacts, Call Report Review, Churning activities, Holdmail / PO Box Review
• Managed KRI reporting to Management.

Singapore

• Business Management (Private Bank)
• Assessing and providing exception approval for sales team.
• Oversees sales staff overdue annual review and client visitations.
• Prepare credit applications on behalf of RMs for renewal credit and new accounts.
• Guidance to Sales Assistants on Credit topics, and exceptional handling on sales related matters.
• Managed Clients’ Complaints.

Central Singapore

• Control / Business Manager (Private Bank)
• Performed review work to ensure procedures are adhered to by sales staff.
• Conducted internal audit reviews across different units within the Bank.
• Handled clients’ complaints.
• Managed clients’ statement preparation and Returned Mails.
• Processed clients’ account opening and maintenance.