- 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 Reg No. R1105334