About the job

Acting as the First Line of Defense (FLD) to identify and monitor potential issues within the Front Office, you will assist the Head of Business Risk Management in strengthening and implementation of management controls in suitability and the selling process.

Providing guidance to the Front Office on suitability and the selling process, you will closely monitor the new regulations issued from the Hong Kong regulators and translate the regulatory expectations into controls within the business processes. You will conduct pre-determined, systematic and comprehensive risk-based monitoring and review of the Front Office and prepare reports for management attention. You will participate in system and management projects related to enhancing the control landscape, as well as other ad hoc tasks, as assigned by the senior management.

  • University graduate
  • Audit trained, with at least 5 – 8 years of work experience in Private Banking / Asset Management business risk and controls
  • Experienced in dealing with regulatory audits and in ensuing remediation work, especially in products and investor suitability
  • Presentable personality, strong interpersonal communication skills especially with senior bankers and management levels
  • Solution driven and proactive in finding alternatives to solve issues
  • Proficiency in MS Word, MS Excel and MS PowerPoint. Avaloq knowledge and experience will be a plus

 

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