Lisa Sim Email & Phone Number

Singapore

• Monitor effectiveness of 1LoD ex-ante controls within the front office and alignment with 2LoD to ensure that P&P are conducted in accordance with group and local policies as well as local regulatory requirements
• Maintain departmental SOP, front office procedures and PB SharePoint site and ensure they are updated timely
• Represent in monthly reporting to various local governance committees and follow up on action points where required
• Prepare and conduct front office training sessions on a regular basis, including Private Banking New Joiner induction
• Prepare and conduct monthly CSO meetings
• Provide support to front office enquiries and requests

Singapore

• Assist with client enquiries and adhoc requests
• Prepare account documentation and assist with account opening and periodic review matters
• Check account balances and outstanding transactions for clients
• Quote price levels, foreign exchange, deposit and loan rates to clients
• Provide clients market reports and economic research
• Arrange for client / staff account instructions to be carried out timely (E.g: Fund transfers; Credit card payments)

Singapore

• Ensure that client instructions are carried out timely and accurately
• (E.g.: Asset transfers; remittances, corporate actions, trade orders, loans and deposit placements, etc)
• Trade order execution includes foreign currency, DCI, ETD, investment funds, OTC and exchange traded securities and structured products
• Handle client enquiries and adhoc requests (E.g.: checking of account balances, outstanding transactions, preparation of statements)
• Preparation of account documentation
• Assist RM in handling AML, KYC and pre-trade suitability checks

Singapore

• Liaise with the front office, internal and external counterparts in Asia and Europe on incoming and outgoing security transfers
• Possess product and settlement knowledge of financial instruments (bonds, equities, mutual funds) across various markets
• Responsible for the setup and monitoring of security transfer instructions
• Resolution of failed trades / complaints / email and phone inquiries
• Additional duties – account closure handling, clean up exercise of penny stocks and US physical certificates

Singapore

• Security Transfers Team Lead
• Liaise with the front office, internal and external counterparts in Asia, Europe and US on incoming and outgoing security transfers
• Possess product and settlement knowledge of financial instruments (bonds, equities, mutual funds, unit trusts) across various markets
• Conduct World-Check screening for security transfers as an effort to minimize financial, regulatory and reputational risk
• Responsible for the setup, approval and monitoring of transfer instructions
• Resolution of failed trades / escalations / complaints / email and phone inquiries

Singapore

• Approve outgoing wire remittances and internal asset transfers (checker)
• Conduct AML checks on client account activities
• Perform daily review of held back loan and deposit entries
• Handle email and phone inquiries from the front office, internal and external counterparts in Europe and US
• Obtain daily pricing from various sources and perform end day pricing update

Singapore

• Process requests for new hires / existing users’ system access
• Performed bi-annual user access reviews
• Involved in UAT activities
• Participated in the unit’s control reviews and process improvement initiatives

Bachelor Of Arts (Ba), Economics

Education record