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Managing the risks and controls on post trade sales suitability call monitoring, remediation/ad hoc project resulted from audit, implement/change the control process driven by change of regulations and internal policies and procedures for Private Bank (PvB) business.
Manage the Call Monitoring Unit to perform post trade voice log review, to assure that all advisory process and disclosure are conducted and adhere to the Regulation and Bank's policies and procedures
Work closely with Ops Risk, Compliance and the COO office to report, resolve any issues and assess impact to the bank and clients.
Perform the Manager assessment of the team's review performance
Consolidate the team's review results and exceptions finding for reporting to Market Head and Business Op Risk Management team for reporting in the monthly Forum
Responsible for the monthly Key Control Indicator reporting, Control Exception tracking and Residual reporting to Business Op Risk team
Conduct Induction and refresher training
Identify potential gap and risk throughout the review process and escalate to compliance/Business Op risk for investigation
Facilitate Front office queries in relation to the bank's procedures on Suitability and Appropriateness procedure
Work closely with Group Control team counterparts to align the review standard
Work with Business Op Risk management on internal/external audit and facilitate all requests in relation to the daily review and provide supporting documentation
Assist in regulatory and internal reporting such as providing statistics, trend analysis and commentary relating to HK Controls and Supervision's key control process (ie. suitability, cross border, and investment trade execution etc)
Drive initiatives on streamlining monitoring and control processes
Supervise and train the Sales & Transactions Assurance member to perform the following:
1.Post Trade Call Monitoring to ensure suitability of the trade that Front office recommended to client and FO provides required disclosure, suitability alert of the trade to client if applicable before execution
2.Monthly Market head call monitoring results, MIS, control breach report, dashboard reporting to Business Op Risk team
3.Potential breach of regulation resulting in HKMA reporting to be escalated to Compliance timely
4.Timely IPO bond allocation and obtain approval for allocation
5.To complete the remediation project on time and provide regular updated to senior management on status
Minimum 8 years of solid experience in banking suitability, operations and risk control, preferably in private banking business or wealth management
Have experience of managing a team
Good communication, team player, interpersonal and leadership skills
Ability to analyse situations, prioritise, implement processes, solve problem effectively and work independently
Good command of writing and verbal English, English and Mandarin
Proficiency in MS Excel, PowerPoint and Word is a must
Equal Opportunity Employer
Standard Chartered is an equal opportunity employer. We have a meritocratic culture where each individual employee is valued and respected for who they are as a person and for what they bring to the organisation.
Diversity and Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal.