In this role, you will have to ensure an effective, risk-controlled and regulatory compliant operating environment for the Private Banking (PB) function based in HK. You will need to perform first level quality assurance and reviews for client on-boarding matters and periodic reviews. You will also need to perform supervisory pre-trade selling suitability assurance reviews. You are responsible for:
- Provides training to new Client Relationship Officer (CROs) and Client Service Officer (CSOs) on systems, processes, and policies.
- Review and approve exceptions related to dealing and advisory functions.
- Review and approve risk control activities (e.g. KYC Review, Investment Suitability, AML).
- Provide operations and transaction approvals and with Business Risk Management in order to ensure effectiveness / efficiency of the First Line of Defense.
- Represents the front office in different working groups to drive strong risk culture in the front office.
- Contributes to enhancement and automation of control processes in the front office.
- Manages Front Office audits and operational risk incidents and ensures appropriate PB representation in Risk and Compliance governance committees.
- Ensure consistent control standards are applied and necessary remediation is performed.
To qualify for this role, you must have the following requirements:
- Bachelor's degree in finance, or related discipline with a minimum of 10 years working experience in private banking
- A risk-oriented mindset that can balance business needs with risks and controls
- Strong analytical, technical and problem-solving skills coupled with excellent communication and presentation skills
- Experience in providing business-related services and support in a large organization including the ability to work effectively with different stakeholders.
- A solid working understanding of Excel, PowerPoint and SharePoint.
- Attentive to details, ability to multi-task and work well under pressure.
If you are interested in this role, please send your cv to d.lim@alsrecruit.com. Only shortlisted candidates will be notified.