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Asia Private Wealth Management Operations (ASIA PWM OPS) partners closely with PWM business unit to process daily activities, develop and implement new products and services, as well as drive efficiency and reduce risk in our processes.
The PWM Operations Regulatory Reporting & Call Back Verification team, part of Asia IWM Ops, is a 6 person highly visible, front-line Operations team responsible for two distinct functions: regulatory report submission and call back verification for cash and security transfer.
Regulatory Reporting: The team is to produce 17+ types of highly complex regulatory report submissions to regulators located in Hong Kong, Singapore, and USA. Critical thinking, attention to detail, and problem solving is therefore critical in this role. The team will also product various internal management reports.
Call Back Verification (CBV): The team plays an integral role safeguarding client interest against fraud risk. The CBV function has direct client interaction hence professional language proficiency in all three languages English, Mandarin, and Cantonese is an absolute must.
The team members support these two function across any given day.
Role Description & Responsibilities
This role is responsible for performing call back verification, producing regulatory reports and management reports. Responsibilities include:
- Perform call back verification with PWM Sales and clients for asset transfers or whenever deemed necessary by Risk and Fraud Ops
- Escalate any failed call back verification or any red flags to managers, risk and fraud Ops
- Produce regulatory and management reports in a timely & accurate manner
- Liaise with other stakeholders (Compliance/PWM business unit/Technology) when a new regulatory report is identified or changes are required.
- Working with Technology/Project team and other stakeholders to automate regulatory reports
- Periodic review on our existing regulatory report process/documentation
- Identify system gaps and work with team and IT on enhancements and testing
- Ensure compliance with risk policies, operation best practice and compliance interpretation
- Actively supporting manager on regulatory reports/control framework new initiatives
- Escalate any potential regulatory impact incidents to senior management immediately