Surveillance Analyst - Global Private Bank

Responsibilities

• Work with private bankers, compliance and legal teams to establish the regulatory controls, governance framework and methodology is effectively in place to manage the risk of business
• Perform daily supervisory and trade based surveillance reviews to ensure adherence to Firm's policy and procedures
• Monitor and identify internal breaches and control weaknesses and conduct investigations as well as recommend corrective actions where needed
• Prepare reports and escalate to senior management any issues if necessary
• Oversee and manage outsourced surveillance teams to ensure that reviews meet the performance criteria and quality standards

Requirements

• A minimum of 2 years of risk, compliance or global markets experience in private banking, preferabbly trade surveillance or non market risk
• Product knowledge of various asset classes including equity, fixed income, OTC derivatives would be an advantage
• Fluency in English, Mandarin and Cantonese
• Proficiency in Microsoft Office
• Excellent communication and interpersonal skills
• Bachelor degree in a relevant discipline