Your new company
You'll be working in Front Line Support (FLS) team locally report into the Wealth Management APAC Business Risk Organization (BRO) team.
Your new role
- To perform control reviews in order to assess cases which do not meet the Investment Suitability disclosure requirement
- Reviews will be time critical and required to be performed in line with a newly agreed control review methodology which includes review of front office communications with clients, including (i) detailed email review, (ii) detailed review of internal contact notes / call reports, and (iii) if required, tape listening.
- To carefully document the review approach & findings and provide a final assessment / conclusion for cases requiring discussion or escalation, and communicate to the Front Line Staffs on the remediation steps with Clients whenever required.
What you'll need to succeed
- Good knowledge or background in risk controls, investigations, compliance and/or audit, and at least 2 years' experience working in the Banking Industry, preferably in wealth management sector with investment suitability knowledge
- Proficiency in Cantonese, English and Mandarin as the candidate is required to communicate well with Front Line Staffs based in Hong Kong and Singapore office as well to perform tape listening
- Basic knowledge of wealth management financial products and services
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now. If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.
