Job Duties:

Implement and execute adequate procedures and controls to monitor first line of business activities encompassing Private Banking, Investment Management and Treasury & Trading. Ensure compliance of products and personnel with the regulations and internal policies. 

• Execute post-trade monitoring; perform daily and monthly testing according to the pre-defined testing framework and any ad-hoc review and testing on business activities;

• Monitor Private Banking, Investment Management and Treasury & Trading processes and activities, prompt escalation on any exceptions and continuously seek for improvement;

• Perform investigation on operational issues /errors and client complaints; follow up on the issues and engage different support functions for potential solutions;

• Provide periodic testing results and management information reports for management review;

• Review Procedure Manuals, escalating issues in respect to business activities;

• Monitor Private Banking rectification of document deficiencies or completion of remediation project work;

• Collaborate with support functions (e.g. Risk, Compliance, Operations) on compliance, loss prevention;

• Contribute to relevant regulatory/ internal training to ensure competent and compliant activities;

• Provide input to, or represent, Private Banking in operational / regulatory initiatives or projects.

Job Requirements:

• Strong understanding of local regulatory requirements, especially on Suitability related activities;

• Strong in MS Excel, Word, PowerPoint, Access;

• Detail oriented and strong understanding of business processes and associated controls within financial institutions, preferably within Private Banking;

• Strong organisational skills and ability to meet deadlines;

• Strong communication, stakeholder engagement and relationship building skills;

• Strong analytical skills;

• Strong management and project management / co-ordination skills;

• Excellent spoken and written English and Chinese; 

• Immediate available is an advantage.