Director - Client Onboarding, Account Maintenance, Regulatory and RTT Controls Lead
At a glance
Leadership Customer Success role at Sumitomo Mitsui Banking Corporation. Singapore.
Pay not stated
Growth Roles summary, based on the employer's posting.
What you'll do
- Review client, product suitability, tax, and other regulatory matters across onboarding and account maintenance
- Create and maintain training materials, checklists, guidelines, NPC proposals, and responses to information requests
- Handle client questions while coordinating internal and external follow-up through resolution
- Prioritize front-office reviews and account refresh work for accurate, timely completion
- Build and monitor controls, update CRM records, and support process improvements and regulatory change work
What you bring
- A bachelor’s degree in Finance, Business, Economics, Law, or a related discipline
- At least ten years in banking, wealth management, or financial services
- Working knowledge of financial products, market dynamics, regulatory standards, and compliance processes
- Comfort with Microsoft Office and CRM tools, alongside careful organization and clear communication
Who this fits
This role suits a client-focused, proactive professional who can balance regulatory reviews, controls, account data, and multiple follow-ups. You will work with investment, product, operations, front-office, and other teams, while also coordinating training and escalations. The position is based in Singapore.
From the employer
The Regulatory and RTT Controls Lead, will support PWG in ensuring adherence to all applicable regulatory and other requirements relevant to client onboarding and account life cycle of our high-net-worth clients. You will handle client, product suitability, tax and other regulatory checks and advisory as well as manage any related escalation to 2nd LoD, whether at onboarding or during the client account lifecycle. You will also ensure that all related data points are appropriately maintained, and support regulatory change initiatives and/or client outreach to ensure a smooth and efficient client experience.
Key Responsibilities:
- Assist PWG front office, as part of the Client Onboarding and Lifecycle Management team with client, product suitability, tax and other relevant regulatory review, assessment, approvals and other related tasks.
- Prepare, maintain, and organize materials (training, checklist, guidelines), contributing also to NPC proposals, and ad-hoc information requests.
- Respond promptly to client queries and coordinate internal / external follow-ups.
- Support front office pipeline prioritization, ensuring timely and accurate execution of necessary reviews and account refresh activity
- Help identify process efficiency opportunities and assist in change initiatives.
- Develop, implement, and monitor key controls for regulatory related processes owned by the Client Onboarding and Lifecycle Management team
- Ensure compliance with regulatory requirements, Suitability, Tax checks.
- Maintain updated client records and manage information in CRM systems.
- Collaborate with internal teams such as investment, product, and operations to deliver seamless client service.
- Assist in planning and coordinating intra and cross departmental training regarding client, product suitability, tax and other relevant regulatory requirements
Qualifications:
- Bachelor’s degree in Finance, Business, Economics, Law or related field.
- At least 10 years of experience in banking, wealth management, or financial services.
- Good understanding of financial products and market dynamics.
- Strong organizational skills with attention to detail.
- Excellent communication and interpersonal abilities.
- Familiarity with regulatory standards and compliance processes.
- Proficiency in Microsoft Office and CRM tools.
- Relevant certifications (e.g. CACS 1, 2) are advantageous.
Skills & Attributes:
- Client-focused with a proactive mindset
- Ability to manage multiple tasks efficiently
- Strong teamwork and collaboration skills
- Analytical and problem-solving capabilities
- High integrity and professionalism
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