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HK First Line of Defense Support - Control and Monitoring
Credit Suisse -
July 11, 2019
We Offer As part of the continued efforts to create the leading Private Bank in Asia Pacific, a regional structure with front to back alignment has been established to leverage and coordinate key resources and priorities
FLDS Control and Monitoring team will act to strengthen the control framework as well as to ensure compliance of all Hong Kong booking platform operational activities with the respective local regulations and regulator
Maintain an effective control environment and execute and document operational and - where applicable - supervisory controls according to PB Division standards; ensure proper follow-ups to performed controls, where required
Ensure adherence to local and global standards related the AML/ KYC/ Client Due Diligence Framework, in particular:
Perform regular (daily/weekly/monthly) monitoring and surveillance on operational risk controls to ensure that Front office conducts activities per internal policy.
Documentations and reviews in respect of AML/KYC/CDD process to ensure the relevance and completeness of KYC information.
Work in a timely and efficient basis to handle relevant procedures related to client periodic reviews.
Liaise with external consultants, FCC and Client Onboarding team on CDD/KYC issues.
Timely follow-up on any identified deficiencies to minimize potential regulatory breaches and escalate to management as needed.
Analyze and identify gaps in existing operational controls and processes, and proactively channel back to the respective owners to ensure continuous procedural and control enhancements.
Provide counsel to the PB business on risk issues upon enquiry and conduct training enhance risk awareness for the HK branch.
Maintain working partner relationship with both internal and external stakeholders
Minimum of 3 years of relevant working experience in financial institution/private banking industry
Sound knowledge and understanding of the regulatory landscape in Hong Kong and Singapore.
Background in private banking risk management, controls or internal audit is preferred.
Knowledge of the Wealth management business, products, and front-to-back process would be an advantage.
Good analytical skills and sound process review/risk assessment skills with an understanding of risks and impacts in a banking environment
A winning personality and a good team player with a can-do attitude
Establish and maintain positive working relationships with all management and personnel.
Ability to lead a team and work independently with minimal supervision and be proactive in all situations.
Able to handle complexity and time constraints as well as work under pressure
Ability to communicate effectively and actively across a range of individual and groups.
Independent judgment with strong analytical and risk assessment skills
Fluent in English, Cantonese and Mandarin (both written and oral)
Excellent Microsoft Outlook, Excel and PowerPoint skills
Internal Number: 6118698
About Credit Suisse -
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