Job ref no.: CT3118690-01#2608

Senior Operation Risk Controller/Risk Control - Private Banking/Wealth Management

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/WealthManagement 

 

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

 

Qualifications

  • 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
  •  

Please send full resume with present & expected salary to expedite sourcing in MS-WORD format by clicking “Apply Now"

Please quote our reference in your application

Personal data provided by job applicants will be used strictly in accordance with the employer’s personal data policies, a copy of which will be provided upon request

All information provided will be used for recruitment purpose only

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3118690-01#2608
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Full-time
Experience
  • 6 years
Career Level
  • Senior management level
Education
  • Degree