Javier Lim Email & Phone Number

Singapore

Singapore

1. Periodic trade monitoring and thematic review of Front Office activities to ensure selling process is aligned with regulatory requirements and market developments.2. Conduct new joiner trainings for Front Office for selling process.3. Draft, maintain and update guidance notes including product cue cards to provide adequate framework to front office.4. Ensure effective communication and interaction with stakeholders in clarification and escalation of findings, with proper follow-up of remediations in a timely manner.5. Assist in review by Internal Audit and regulators. 6. Participate in Risks Management Committee to ensure risks are highlighted and addressed.

Singapore

1. Act as domain lead to develop, implement and maintain Key Survelliance Points(KSP) Control & Execution Plan for Client Management Domain covering controls relating to account opening/closure/review/dormancy, holdmail mail service, FATCA and AEOI mainly for Singapore.2. Ensure KSP standards are maintained and that formalized methodologies and templates are in place.3. Ensure competent execution per determined scope and coverage (methodology, sampling coverage, adequacy of checks, effective communication and interaction with stakeholders in clarification and escalation of discrepancies, deficiencies and exceptions/ issues for remedial action, with follow-up on status of previous findings for closure) within deadlines.4. Perform on-going quality checks, with timely issuance of KSP closure report to stakeholders (assessment results).5. Assist in review by Internal Audit and regulators.6. User of systems such as Impressio, ECM, Olympic, Amefico and Filenet, etc.7. Observe rules and regulations governing the Bank including those issued by MAS and HKMA governing the operations of the Bank. 8. Prepare quarterly reporting to Head Office9. Coaching of junior team member and contract staff

Singapore

1. Assist in all audit issues pertaining to Group of companies in Asia covering Singapore and Hong Kong2. Assist in completing the planned audits and drafting audit programs3. To provide audit services through reviews and evaluations of the Bank's and/or Group's internal control systems, policies and procedures and financial, management and client information.4. Observe rules and regulations governing the Bank including those issued by MAS and HKMA governing the operations of the Bank. 5. Frequent user of Avaloq system, ELAS system, Name Matching System, MLDS and Audimex for conduct of day to day audit activities. 6. Covers audit in hold mail management, portfolio management, cross border activities, account opening, regulatory reporting for liquidity, client due diligence reviews (tax reviews) and accumulators/decumulators, etc. 7. Prepare monthly reporting pack to track status of audit issues 8. Prepare quarterly reporting to MAS 9. Coaching of junior team member

Singapore

1. Conduct and review of controls performed for Front Office activities covering Singapore and Hong Kong in areas including such as Cross Border Activities and Investment Suitability2. Draft new procedures or continuous improvement of procedures to ensure alignment with regulatory or market developments3. Assist in review by Internal Audit4. Management, investigation and resolution of assigned client complaints5. Participate in conducting trainings for Front Office in Singapore and Hong Kong6. Email automation for sending of review results to front office using macros7. Experience in Avaloq system, OnDemand system and CRM system8. Exposure to regulatory requirements for MAS and HKMA in the private banking space for front office9. Conduct mock interview for bankers in India (Mumbai and New Delhi) for preparation of visit by Internal Audit

Singapore

1. Migration and integration of Lehman’s & Barclay’s Cash Equities business which includes UAT testing and reconciliation of trading records between upstream and downstream systems for Japan and NJA Cash Equities business.2. Establish and ensure that process controls are in place for areas such as trade capture and perform investigation in event of control failures.3. Perform all aspects of management reporting for the Cash Equities business especially the development of daily, weekly, monthly and quarterly reporting packs for the business.4. Liaise with Front Office, Product Controllers, Operations and IT to understand and resolve systems breaks and feed issues on a daily and ad hoc basis.

Singapore

1. Perform supervisory review of the production of daily P&L, Month end reporting and Balance Sheet substantiation of one direct report.2. Daily analysis and production of P&L for 50+ trading books in a controlled environment. 3. Providing MIS around P&L analytics, risk based P&L explanation, and performance commentaries.4. Daily positions monitoring and collaboration with Risk Management team.5. Price testing against prices obtained from independent sources e.g. Bloomberg.6. Identity/reconciliation and clearance of FOBO breaks on a daily basis.7. Flash to actual reconciliations and confirmation with front office.8. Obtain approvals for P&L and attend to queries from front office and internal clients.9. Participate in projects such as UAT for new system applications.

Singapore

1. Interaction with various stakeholders to understand business requirements to produce strategic management reporting to analyse contribution of salespersons and clients from different levels.2. Reconciliations and issues resolution by liaising with Trading and Marketing desks for Sales Credits reporting. 3. User Acceptance Testing for new systems, working on automation of reports with IT and front office.

Singapore

1. Audit for financial institutions such as Bank of America, American Express, N.A., RHB Berhad Bank and Bank of Tokyo-Mitsubishi UFJ2. Variance analysis and substantive testing of account balances3. Controls testing of payroll cycle, credit cycle and treasury cycle (Singapore Government Securities/Interest Rate Swaps/Interest Rate Futures) for my audit engagement with Bank of America, N.A.4. Compliance audit for RHB Berhad Bank, Singapore Branch and American Express International Inc. [MAS 612 (Credit Files, Grading and Provisioning), Banking (Credit Card and Charge Card) Regulations and MAS 626 (Anti-Money Laundering), etc]