Mgr, Ctrl, Process & Gov

The Role Responsibilities

Sales and Transaction Surveillance Review

• Perform surveillance review including voice log review and suitability assessment over front office activities to ascertain advisory services are conducted in compliance with Bank’s policy and regulatory requirements.
• Work with Suitability and Order Taking Process Owner and Compliance to practically implement any new regulatory requirements and streamline existing requirements where required.
• Act as Process Owner to oversee the end to end process including framework and controls for topics under COO office such as Cross Border, Pricing, Vulnerable Client, etc.
• Prepare monthly management information reports to various Location and Group risk governance forum to address the high-risk items as well as the monitoring results.
• Detect and investigate any inappropriate / mis-selling / suspicious activities (such as Cross Border, Fraud, Conduct ) through the sampling review.
• Perform trend analysis of exceptions identified to identify risk areas and carry out Front Office trainings.
• Conduct ad hoc review and inspection on exceptions and suspicious cases identified by HKMA.
• Support any initiative and remediation exercise within the COO Office

Our Ideal Candidate

• Bachelor's degree holder, 3 - 5 years of solid experience in banking operations and risk control, preferably in private banking business or wealth management.
• Able to analyse situations, prioritise, implement processes, solve problem effectively and work independently.
• Strong control sense, able to identify potential risk and provide valid recommendations.
• Detail minded, mature, tactful, independent, initiative and well organized.
• Proficiency in MS Excel, PowerPoint and Word is a must.
• Excellent communication and interpersonal skills.

Role Specific Technical Competencies

• Excellent communication skills
• Strong risk control sense
• Good team player 

Apply Now to join the Bank for those with big career ambitions.