Senior Manager, Governance & Controls - FM OPS

  • Attractive Bonus + Package
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Robert Walters Hong Kong
  • 14 Mar 18 2018-03-14

Perform controls over front office activities to ensure suitability investment advices and selling process is conducted in compliance with Bank's policy and regulatory requirements Manage a team to perform daily suitability review; Facilitate communication between front office and the team


  • 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, escalation of exception cases, follow up rectification and outstanding issues; For example. reviews on regulatory client classifications (PI, IC PvB Cust), product risk rating and client risk profile mismatch, product knowledge & experience, Investment rationale
  • Monitor and conduct quality reviews on Investment Questionnaire, Investment Portfolio Review and Investor Characterisation
  • Assist in MIS reporting such as providing statistics and trend analysis relating to investment suitability and call monitoring findings
  • Prepare monthly report to Markets heads and Ops risks team on any transactions discrepancy and findings
  • Participate in ad hoc projects such as design suitability review framework for new products; ensure the departmental operating procedures are up-to-date
  • Coordinate internal and external audit, tracking of status/progress of resolution on items raised by auditors
  • Conduct induction training on the bank's suitability requirements


  • University graduate
  • At least 5 years of solid experience in banking operations and risk control, preferably in private banking business or wealth management
  • Self starter with detail-oriented mind, strong communication skills, work well independently and on a team
  • Possess strong control sense, able to identify potential risk and provides valid recommendation
  • Good command of both written and spoken in English and Chinese
  • Proficiency in MS Excel, PowerPoint and Word is a must