Job details
Location: | Hong Kong S.A.R |
Job Type: | Permanent |
Discipline: | |
Reference: | ADBRMMS/NR100322 |
Posted: | about 2 years ago |
Job description
Duties:
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
Requirements:
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, nestor.roldan@charterhouse.com.hk Web: www.charterhouse.com.hk
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