• Multiple Expansion Hire w/ Int’l Private Banks
• Front Office Risk Control/Transaction Monitoring
• Sales Surveillance/Product Suitability

Representing multiple top ranking Regional and European private banks to search for 1st and 2nd line of risk control veterans to cover the expanding regulatory risk control functions for the HK Branch.

Responsibilities:

• Oversight the daily private banking activities to ensure the fulfilment of governance & control
• Conduct voice log review, pre/post-trade validation and transaction review to ensure proper selling procedures and client/product suitability
• Enhance/implement appropriate control procedures to ensure the adherence of HKMA, SFC, MAS regulations and corporate governance
• Ensure timely regulatory reporting and support related investigation

Requirements:

• Degree holder in Accounting/ Business/Legal or related disciplines
• 5 years of relevant audit/risk control experience acquired from int’l banks, risk advisory/consultancy firms or BIG4 audit firms
• Relevant suitability and call monitoring experience is a pre-requisite
• Strong risk control mindset with good knowledge of HKMA, SFC or MAS is highly desirable
• Good understanding of multi-asset classes of investment products
• Driven with strong problem solving capability and communication skill to work with internal stakeholders

Interested candidates, please email your update resume (in MS WORD format) with current and expected salary to us soonest.

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