Job ref no.: CT3118690-01#4741

Senior Operation Risk Controller/Risk Control - Private Banking/Retail Banking

Asia Progress Executive Limited

Our client is reputable Private Banking /Wealth Management To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team


Senior Operation Risk Controller/Risk Control -Private Banking/Retail Banking  


Main Responsibilities

  • KSP — KSP Domain Lead in Financial Instrument Selling Process, covering Selling process, Suitability
  • KSP checks, documentation and reporting
  • Ensure that KSP checks are executed in accordance with HO / Local guidelines.
  • Where there are deviations to guidelines, ensure these are appropriately approved and documented
  • To apply the KSP methodology, complete the planning/results template (approach, source, sampling)
  • Incidents/Audit Reports Recos and Findings - consider possible implications
  • Set a timeframe for completion of KSP (end to end)
  • Formalise methodology with the Domain Lead / Section Head / Head of PCA
  • Ensure test results are well supported
  • Review results with Domain Lead / Section Head / Head of PCA
  • Ensure timely communication, escalation, summary emails
  • Update RM scoreboard and related HO reporting
  • PCA folders to be updated promptly



  • Degree Holder
  • Professional certification in Operational Risk will be an advantage
  • at 5 years of experience in Audit or Operational Risk Private Bank/KYC Client On Boarding Risk Control  or 1st or 2nd lines of defence, in the area of Investment Product selling process, Suitability, Cross Border Activities rules in Private Bank 
  • Understanding of the Wealth Management / Private Banking business procedures and policies, product knowledge, related risk of the process and products, and the relevant risk mitigation and controls procedures.
  • Team player, Mature and independent
  • Meticulous, Able to work
  • Good PC skills, Visual Basic (VBA) skills will be an advantage

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More job information
Job ref no. CT3118690-01#4741
  • N/A
Job Function
  • Central
  • Western District
Employment Term
  • Permanent
  • Full-time
  • 4 years - 5 years
Career Level
  • Senior management level
  • Degree