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Transaction Monitoring Senior Officer, Risk Control-Int'l Private Bank

ProJob21.com Limited

  • Company Industries:Others

Job Information

  • Post Date:2018-06-25
  • Location:Not Specified
  • Salary:Salary provided
  • Employment Type:Full Time, Permanent
  • Job Function:Consulting  Private Banking  Retail Banking  

Job Description

  • 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.

Also come visit www.ProJob21.com to discover other exciting career opportunities!

All information received will be kept in strict confidence and used for employment-related purposes only.

Company Info

ProJOB21 is a home grown recruitment firm established in 2000, and since then we are proud to be partnering with the most reputable clients from fortune 500 companies including luxury retail and notable consumer brands, as well as high profile private banks & asset management; private equity & CIBM. Our business philosophy is rooted in the concept of Integrity, Pragmatism, and Caring to our candidates and clients, our team, and our local community.

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