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Perform post-trade controls on Investment Suitability requirements as per bank's and regulators (HKMA/SFC/MAS) rules and regulations, and act as an education utility to remind FO of their requirements when executing investment transactions with clients.
The team acts as a control-execution function within the bank's 1st level control risk framework, aimed at improving risk effectiveness and culture.
Performing phone tape listening of mismatch trades on the Daily Risk Mismatch reports
Documenting the result of reviews of mismatch trades flagged up in the risk mismatch report
Based on findings, assist RM to carry out necessary actions for proper rectification with clients
Escalating identified exceptions to Management and Compliance
Reviews need to be performed and results reported in a timely manner
As business partner to RMs, helps to rectify issues, ensures RMs understand certain regulations that's been imposed, to aid RMs in improving risk behavior
Reporting / Suitability Oversight Committee / Asia Risk Committee:
Prepare periodic reports for the team
Ensure the report is accurate, data integrity is maintained and reports issued on timely manner
Support the team to organise the suitability oversight committee
Document the suitability oversight committee discussion
Track the action items and follow up with other stakeholders
Escalate issues to Department Head in a timely manner for resolution
Participate in team meetings to discuss operational matters, progress status and issues noted
Take on ad hoc project assigned by the department head
Competencies (Technical / Behavioral)
Good written and presentation skills
Able to work in a dynamic environment
Good team player
Self-motivated and multi-tasking
Specific Qualifications Required:
University Degree Holder with minimum 3-5 years of relevant private banking working experience.
Experience in a business management and/or business risk monitoring and/or project management with the understanding of private banking Front Office operational framework
Good understanding of regulatory environment and suitability framework