Process & Quality Monitoring Manager - Private Banking

In this key regulatory and operational role, you will lead surveillance across pre- and post-trade sales activities, identify internal process enhancements, and ensure strict compliance with HKMA and SFC standards.

Job Description:

• Conduct surveillance on transactions and regulated sales activities, including pre-trade, post-trade and ongoing monitoring processes to assess the quality of transactions and regulated sales activities and adherence to proper standards and procedures
• Prepare management information and reports on sales process quality on a regular basis
• Access and identify internal process weaknesses to implement necessary rectifications or changes in control procedures.
• Responsibilities include handling regulatory requests and compliance reviews when necessary.
• Be responsive to queries about the investigations and related risk mitigation measures raised by business and relevant units.
• Other duties and responsibilities as assigned by the supervising manager.

Job Requirements:

• Bachelor's degree or above in Business, Finance, Accounting, Economics or related disciplines;
• At least 5 years of experience in the banking control, monitoring and surveillance sectors. Solid experience in private banking is preferred;
• Good knowledge of private banking products and good understanding of relevant HKMA and SFC rules, regulations, practices and guidelines would be an advantage;
• Excellent communication and presentation skills;
• A good team player with strong business acumen and analytical skills;
• Able to work under pressure and meet tight deadlines;
• Proficient in both spoken and written English and Chinese, fluent in Putonghua is preferable.