Business Control Officer - Global Private Bank

Responsibilities

• Perform post-trade business controls in the area of client and sales suitability (eg. Voicelog review) and other aspects of operational controls
• Possess good understanding of sales suitability requirements in the areas of risk, tenor, investment experience mismatches, investment rationale, concentration breaches, etc.
• Perform checks on customized statements and ensure that they are sent out to clients within stipulated timeline.
• Validate client trading suitability (eg. product suitability, risk mismatch, concentration, DPM restrictions check, etc.) and perform trade documents deficiency follow-ups.
• Prepare MIS reporting

Requirements:

• Bachelor degree
• Compliance, risk and control experience with client suitability and monitoring exposure
• Good banking product knowledge including FX, money market, fund transfer, equities, fixed income and derivatives
• Strong Excel skills
• Good interpersonal and communication skills
• Self-motivated with the ability to work under time pressure with accuracy
• Fluent in English, Cantonese and Mandarin