Assistant Director, Business Risk Management - Monitoring and Surveillance - Private Banking

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: ADBRMMS/NR100322
Posted: 4 months ago

Job description


  • Assist Team Head in performing relevant analysis on historical clients’ transactions and conduct periodic surveillance review and provide other necessary assistance as required

  • Participate in the design, enhancement and management of a surveillance monitoring program

  • Participate to refine and enhance the surveillance scope and methodology with robust risk control in order to meet the expectations of HKMA or Group Audit

  • Project enhancement, system design and user acceptancy testing related to surveillance team

  • Conduct surveillance monitoring to review the bank's investment suitability/selling process, cross border, and code of conduct in line with regulatory requirements and internal policies and procedures.

  • Highlight the control issues arising from the surveillance monitoring and escalate such issues to Team Heads and Head of Risk Management and escalate surveillance MIS to senior management and relevant governance forum in a timely manner

  • Assist in consolidation of Front Office Marketing Scorecard and review results

  • Engage Front Office and Market Teams in a structured way to deal with any surveillance offenders and to manage the exception rate of key issues

  • Prepare Management reports with respect to areas concerning surveillance monitoring program

  • Participate in investigation on staff misconduct cases and control issues

  • Provide advice to Front Office on requirement of relevant surveillance testing program

  • Conduct and contribute to the training for surveillance induction program or respective team meetings for new joiners and existing staff, where applicable

  • Support the preparation/follow-up on internal/external audit and regulatory inspection

  • Assist Team Head to assure the completion of surveillance monitoring program for the bank


  • Minimum 5 years of Hong Kong banking surveillance related experience, preferably in investment suitability monitoring

  • Familiar with Private Banking activities with focus on risk and control matters

  • Knowledge of investment products, HKMA investment suitability related rules, regulations and guidelines

  • Fluent in English and Chinese

  • Good communication skill as well as interpersonal abilities, stress resistant

  • Open mind to change for streamlining and to improve in the control environment

  • Ability to work in a multi-cultural environment

  • Strong problem analysis and judgment, independence, persuasiveness, commitment, and customer focus

  • Numerical and competent in financial calculations

  • Good PC and MS Excel skill


If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, Web:


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Image 2022 02 26 T04 57 33