- Assist Business Monitoring & Surveillance team (“BMS” team) in conducting periodic surveillance review.
- Conduct surveillance monitoring in selling process, investment suitability, cross border activities and code of conduct in accordance with regulatory requirements, internal policies and procedures.
- Identify discrepancies and issues from the surveillance monitoring and communicate with Front Office on the necessary remediation and follow through for closure.
- Provide guidance to Front Office on selling process and suitability requirements.
- Prepare statistical report of the surveillance results to senior management and scorecard purpose in a timely manner.
- Support the preparation/follow-up on internal/external audit and regulatory inspection.
- Assist Team Head on administrative tasks.
- Provide other necessary assistance as required by BMS Team.
- Minimum 3 years of Hong Kong banking surveillance related experience, preferably in investment suitability monitoring
- Familiar with Private Banking activities with a focus on risk and control matters
- Knowledge of investment products, HKMA and SFC investment suitability related rules, regulations and guidelines
- Fluent in English (oral and writing skills) and Chinese
- Good communication skills and be comfortable to speak with Senior Bankers
- Open minded to changes in cope with regulatory changes and streamlined processes
- Ability to work in a multi-cultural environment
- Good PC and MS Excel skills
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