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Business Risk Management (AVP/VP)

Business Risk Management (AVP/VP)

  • Location


  • Sector:

    Banking & Financial Services

  • Job type:


  • Contact:

    Vanessa Lam

  • Contact email:

  • Contact phone:


  • Job ref:


  • Published:

    over 1 year ago

  • Expiry date:


Reporting to the Asia Head of Internal Controls, this role works closely with compliance and risk management to ensure that activities of the bank in Asia are conducted in accordance with the bank’s policies, laws and regulations of the respective jurisdictions.

Job Scope: 
  • Conducts trade surveillance and review of internal controls in accordance with regulatory requirements
  • Product suitability reviews – review client investment suitability (i.e. risk profiling, concentration, etc) and adequate product risk explanation.
  • Reviews and identifies any key control weaknesses, provide recommendations to rectification or change control procedures.
  • Work with Front Office and Management on surveillance related matters and escalate any issues to Management, where appropriate.
  • Stay abreast of any regulation changes.
  • Ensures that the recommendations of Regulators and Auditors have been implemented and control procedures updated

  • Minimum 5-7 years relevant experience in a financial institution
  • Candidate with experience in private bank audit are welcomed
  • Sound knowledge in wealth management products and structure
  • Sound knowledge of regulatory requirements (MAS, HKMA, Banking Act, SFA, FAA, etc)
  • Ability to work independently in a small team.
  • Good computer skills in MS Excel, Word & Powerpoint. Knowledge in Bloomberg Machine and Avaloq system is a plus.
EA Licence No. 16S7973
EA Reg No. R1105334