Job ref no.: 2300002394
Standard Chartered Bank

Mgr, Ctrl, Process & Gov

Standard Chartered Bank

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.

More job information
Job ref no. 2300002394
Job Function
Work Model
  • On-site / At the workplace
Employment Term
  • Full-time
  • 3 years - 5 years
Career Level
  • Non-management level
  • Degree