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Manager, Internal Controls & Surveillance

Manager, Internal Controls & Surveillance

This is a good opportunity for a motivated individual to join an established Wealth Management brand.

With primary focus on supporting internal controls, you should be skilled in conducting surveillance of client accounts and review of controls in accordance with the bank’s policy, procedures, fraud risk and regulatory requirements to an acceptance level. Additional responsibilities include reviews on product suitability, investment transaction, pricing, staff personal account, vested interest securities, EXAM activity, new DPM, FMIA and trade reversals.

To succeed in the role, you would possess a degree in business, accounting / finance or law with at least 7 years’ experience in an audit or risk management. Sound knowledge of Hong Kong and Singapore regulatory requirements (MAS regulations, Banking Act, SFA, FAA). Good appreciation of risk and control, and familiar with wealth management products and structure. You should be an excellent communicator and have good computer skills in MS Excel, Word and PowerPoint. Knowledge in Bloomberg Machine and Avaloq system is a plus.

Interested applicants please reach out at Your interest will be treated with the strictest confidentiality.

EA Reg. No. R1105493 | EA Licence No. 16S7973