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Do you have a Compliance, Controls, Investigations and/or Audit background with solid experience in the wealth management industry?
Are you able to evaluate, interpret and challenge complex information carefully?
Are you trustworthy in maintaining high business standards, while driving the business forward?
Do you know how to organize and prioritize your work to meet key deadlines?
Are you able to challenge colleagues in a constructive way?
Are you a self-starter within initiative, able to own and drive complex projects, while keeping management informed of regular progress?
We are looking for a high caliber individual with these qualities to assist the following:
To perform control testing in order to assess misconduct cases for remediation, escalation and communicate preventive measures to the Front line
Control testing timeline will be time critical and required to be performed in line with a newly agreed control review methodology which includes review of front office communications with clients, including (i) detailed email review, (ii) detailed review of internal contact notes / call reports, and (iii) , tape listening. Other review methods may be deployed and may be pre-agreed with supervisor.
To carefully document findings and provide a final assessment / conclusion for cases requiring discussion or escalation
Become a subject matter expert ('SME') on the control, giving considered feedback on how the control is operating and if and how over time it may be improved
A strong team player, positive attitude and
Assist the Supervisor with other control tasks & provide trainings to the team members as and when required.
You'll be working in Front Line Support (FLS) team locally report into the Wealth Management APAC Business Risk Organization (BRO) team. Front Line Support is a dedicated independent team as a 1st line of Defense in the Control Framework to execute ex-post Controls.
As 1st Line of Defense in the Control Framework structure, we execute Controls checks (ex-post) on our Origination Units who are based in Hong Kong, Singapore & Dubai. The Controls are primarily driven by Local Regulators [Monetary of Authority of Singapore (MAS) and Hong Kong Monetary Authority (HKMA)] and also from our Global Head Office.
Your experience and skills
Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal, and at least 3-4 years' experience working in the Banking Industry, preferably in wealth management sector
Proficiency in Cantonese, besides English and Mandarin as the candidate is required to communicate well with Front Line Staffs based in Hong Kong office as well to perform tape listening
Good knowledge of wealth management financial products and services
Risk-oriented personality who has the ability to differentiate borderline risk issues from critical fraudulent
Detail oriented, experienced in managing & reducing risk, developed analytical skills, strong listening capabilities
a clear communicator, with exceptional interpersonal skills and a good listening skill
open to continuous learning and continuous education both within the team and with Business Partners and Front Line staffs
proficient in basic Microsoft applications
creative approach to problem solving & challenging existing processes to drive improvements
Proactive, independent, Client-Oriented and well-organized Individual