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- Maintain and update the Front Office Procedures and product cue card when there is any changes in regulations or update in the suitability policy and selling process. - Perform gap analysis against regulatory requirements and implement effective controls for gap closure. - Assist Business Risk Monitoring & Surveillance team ("BRMS") in conducting surveillance review. - Conduct surveillance monitoring in selling process, investment suitability, cross border activities and code of conduct in accordance with regulatory requirements, internal policies and procedures. - Identify discrepancies and issues from the surveillance monitoring and communicate with Front Office on the necessary remediation and follow through for closure. - Provide guidance to Front Office on selling process and suitability requirements.
QUALIFICATION AND OTHER REQUIREMENTS:
- Minimum 5 years of private banking surveillance or regulatory change related experience, preferably in investment suitability - Familiar with HKMA and SFC investment suitability related rules, regulations and guidelines - Knowledge of investment products - Fluent in English (oral and writing skills) and Chinese - Good communication skills and be comfortable to speak with Senior Bankers - Open minded to changes in cope with regulatory changes and streamlined processes - Ability to work in a multi-cultural environment