Job Description:

• Involve in pre-trade and post-trade suitability monitoring to ensure actions are taken for potential non-compliant trades as per the Bank’s internal policy and regulatory requirements, e.g. reviews on regulatory client classifications (PI, PWM, PB Customers), product risk rating and client risk profile mismatch, product knowledge and experience, Investment rationale, etc
• Monitor and conduct quality reviews on Investment Questionnaire, Investment Portfolio Review and Client Contract Reports
• Involve in call monitoring review, escalation of exception cases, follow up rectification and outstanding issues
• Assist in developing the monitoring mechanisms and internal control measures
• Liaise with key stakeholders to launch quality improvement projects and organize staff educational programme to promote the importance of service and sales quality
• Assist in MIS reporting such as providing statistics and trend analysis relating to investment suitability and call monitoring findings, internal control weaknesses / deficiencies and recommended control plans
• For regulatory compliance, the candidate needs to help to do the relevant gap analysis with reviewing against the latest guidelines, regulations and works sharing released by the local regulators
• Assist in ad hoc projects as assigned

Requirements:

• University degree or above in relevant disciplines
• At least 5 years’ relevant working experience
• Good command of both spoken and written English, Cantonese and Putonghua
• Resume in both Chinese and English is needed