AM, Control & Supervisions
Salary Attractive Bonus + Package
Location Hong Kong
Consultant Clara Shing
Date posted 13 June 201841 Connaught Road Central Hong Kong Robert Walters Hong Kong
An Assistant Manager role has been released in one of Hong Kong's well known financial services firm.
- Perform controls over front office activities to ensure advisory services/ selling process are conducted in compliance with Bank’s policy and regulatory requirements.
- Strengthen front office’s understanding of policy standards through trainings and discussions.
- Enhance MIS reporting, able to provide meaningful analysis and draw conclusion from the information given.
- Review and update procedures related to existing and new processes.
- Involve in post trade suitability monitoring to ensure actions are taken for potential non-compliant trades as per the Bank’s internal policy and regulatory requirements.
- Monitor tax form (CRS) status for Front Office follow-up and provide progress report for management.
- Control standard and non-standard communication for client to ensure all the corresponding approvals and requirements have been fulfilled according to the Bank-wide guideline.
- Validate non-standard communication created by Front Office and control the sending of such communication.
- Partner with IT for implementing system enhancement to reduce manual workflow, design test case and perform UAT testing.
- Involve in ad hoc remediation projects.
- Monitor large fund/securities transfer-in review to ensure legitimacy to detect potential fraud and unauthorised transactions.
- Responsible for DPS related monitoring, annual self-assessment and internal audit.
- Review and monitor Private Bank Customers and Professional Investor qualification.
- Coordinate and work with other teams to complete monitoring and surveillance tasks.
- Prepare report to senior management to address the high-risk items as well as the monthly monitoring results.
- University graduate
- 5 – 8 years of solid experience in risk control, preferably in private banking business or wealth management; candidates with experience in retail wealth will also be considered
- Ability to analyse situations, prioritise, implement processes, solve problem effectively and work independently
- Knowledge in structured products will be considered first; preferably with relevant designation
- Detail minded, mature, tactful, independent, initiative and well organised
- Strong control sense, able to identify potential risk and provide valid recommendations
- Excellent communication and interpersonal skills
- Good command of written and verbal English and Chinese
- Proficiency in MS Excel, PowerPoint and Word is a must