Responsibilities:

• Ensures an effective, risk-controlled and regulatory compliant operating environment for the PB function based in HK.
• Performs first level quality assurance and reviews for client on-boarding matters (including CIPs, a/c dox) and periodic reviews.
• Performs supervisory pre-trade selling suitability assurance reviews.
• Perform authentication controls for transfer over threshold.
• Maintains Front office policy and procedures upkeep to regulatory and control standard
• Conducts Front Office trainings for new policy change and refresher training.
• Supports on-boarding of and provides training to new CROs and CSOs on systems, processes, and policies.
• Acts as facilitator for CRO / CSO providing support and acting as coordinator in day-to-day activities and issues.
• Deals with CSO support matters including back up arrangements.
• Works 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.
• Drives various initiatives and actively engage in PB related initiatives - represent PB as SME as needed and provides the necessary support to ensure preparedness of PB staff (impact assessment, process and procedure, and training) as change projects are implemented.
• Supports ad hoc projects / initiatives and other duties as assigned by Local PB Chief Operating Officer or Head of PBS.