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.
About Standard Chartered
We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.
To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.
We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.