Associate, COO Suitability, PVB HK SG

Standard Chartered Bank (Hong Kong) Ltd; Hong Kong; Presencial; HKD 480 000 - 720 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Annual leave

Parental/maternity leave

Flexible working

Wellbeing & development programs

Diversity & inclusion

Resumo da oferta

Standard Chartered Bank (Hong Kong) Ltd is seeking a Sales & Transaction Surveillance Review professional to lead surveillance activities ensuring front office advisory services comply with policy and regulatory standards. The role involves analyzing voice logs, investigating potential mis-selling, and coordinating with Compliance to implement regulatory requirements.

The candidate will perform trend analysis of exceptions, support regulatory inspections, and contribute to risk assessments, with

Qualificações

• Degree holder; 3–5 years of banking operations and risk control experience, preferably in private banking or wealth management.
• Ability to analyse situations, prioritise, implement processes, and solve problems independently.
• Detail-minded, mature, tactful, independent and well organized.
• Strong control sense with ability to identify risk and provide recommendations.
• Excellent communication and interpersonal skills; good written and spoken English and Chinese.

Responsabilidades

• Perform surveillance review including voice log review and suitability assessment over front office activities to ensure compliance with policies and regulatory requirements.
• Detect and investigate inappropriate/mis-selling/suspicious activities through sampling review.
• Perform trend analysis of exceptions to identify risk areas and conduct front office trainings.
• Collaborate with Compliance and Process Owner to implement new regulatory requirements and streamline existing ones.
• Oversee end-to-end COO topics such as Suitability, Pricing, and Vulnerable Client; prepare monthly risk governance reports.
• Support ad hoc reviews, regulatory inspections, inquiries, and risk assessments; contribute to remediation efforts.

Conhecimentos

Conduct management

Risk management

People management

Products & processes

SIF/Strategy

Formação académica

Bachelor's degree

Ferramentas

MS Excel

PowerPoint

Word

Descrição da oferta de emprego

Sales & Transaction Surveillance Review

• Perform surveillance review including voice log review and suitability assessment over front office activities to ascertain advisory services are conducted in compliance with Bank’s policy and regulatory requirements
• Detect and investigate any inappropriate/mis-selling/suspicious activities (such as Cross Border, Fraud, Conduct) through the sampling review
• Perform trend analysis of exceptions identified to identify risk areas and carry out Front Office trainings
• Work with Suitability and Order Taking Process Owner and Compliance to practically implement any new regulatory requirements and streamline existing requirements where required
• Act as Process Owner to oversee the end-to-end process including framework and controls for topics under COO office such as Suitability, Pricing, Vulnerable Client etc.
• Prepare monthly management information reports to various Location and Group risk governance forum to address the high-risk items as well as the monitoring results
• Support ad hoc reviews, regulatory inspections and enquiries and contribute to risk assessments, incident investigations, and thematic reviews.
• Support any initiative and remediation exercise within the COO Office

Key Responsibilities

Regulatory & Business Conduct

• Display exemplary conduct and live by the Group’s Values and Code of Conduct.
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Lead the [Hong Kong Private Banking] to achieve the outcomes set out in the Bank’s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.].
• Effectively and collaboratively identify, escalated, mitigate and resolve risk, conduct and compliance matters.

Key stakeholders

• Private Banking Regional Head, COO, Business Planning Management, Banking Operations, Wealth Operations, Wealth Management, Compliance, Legal, Relationship Managers, Client Relationship Manager, 2nd line and 3rd line support functions (e.g. Ops Risk, Fraud Risk, IC Risk, Conduct Risk, Group Internal Audit)

Other Responsibilities

• Embed Here for good and Group’s brand and values in Hong Kong Private Banking; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Skills and Experience

• Manage Conduct
• Manage Risk
• Manage People
• Products and Processes
• Strategy and Business Model (SIF)

Qualifications

• Degree holder, 3-5 years of solid experience in banking operations and risk control, preferably in private banking business or wealth management
• Able to analyse situations, prioritise, implement processes, solve problem effectively and work independently
• Detail minded, mature, tactful, independent, initiative and well organized
• Strong control sense, able to identify potential risk and provide valid recommendations
• Excellent communication and interpersonal skills
• Good command of written and verbal English and Chinese
• Proficiency in MS Excel, PowerPoint and Word is a must

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.

Together we:

• Do the right thingand are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle,continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Are better together,we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

• Core bank funding for retirement savings, medical and life insurance,with flexible and voluntary benefits available in some locations.
• Time-offincluding annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
• Flexible workingoptions based around home and office locations, with flexible working patterns.
• Proactive wellbeing supportthrough Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills,global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning cultureto support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
• Being part of an inclusive and values driven organisation,one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

Unlock job insights

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The world's best international bank, leading the way in Asia, Africa and the Middle East Standard Chartered PLC, listed on both London and Hong Kong stock exchanges, ranks among the top 25 companies in the FTSE-100. The London-headquartered Group has operated for over 150 years in some of the world's most dynamic markets. Its income and profits have more than doubled over the last five years primarily as a result of organic growth and supplemented by acquisitions.

Standard Chartered aspires to be the best international bank for its customers across its markets. The Bank derives more than 90 per cent of its operating income and profits from Asia, Africa and the Middle East, generated from its Wholesale and Consumer Banking businesses. The Group has around 1,750 branches and outlets located in over 70 countries.

The extraordinary growth of its markets and businesses creates exciting and challenging international career opportunities. Leading by example to be the right partner for its stakeholders, the Group is committed to building a sustainable business over the long term and is trusted worldwide for upholding high standards of corporate governance, social responsibility, environmental protection and employee diversity. It employs 75,000 people, nearly half of who are women. The Group's employees are of 115 nationalities, of which 60 are represented among senior management.

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. 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.

The world's best international bank, leading the way in Asia, Africa and the Middle East Standard Chartered PLC, listed on both London and Hong Kong stock exchanges, ranks among the top 25 companies in the FTSE-100. The London-headquartered Group has operated for over 150 years in some of the world's most dynamic markets. Its income and profits have more than doubled over the last five years primarily as a result of organic growth and supplemented by acquisitions.

Standard Chartered aspires to be the best international bank for its customers across its markets. The Bank derives more than 90 per cent of its operating income and profits from Asia, Africa and the Middle East, generated from its Wholesale and Consumer Banking businesses. The Group has around 1,750 branches and outlets located in over 70 countries.

The extraordinary growth of its markets and businesses creates exciting and challenging international career opportunities. Leading by example to be the right partner for its stakeholders, the Group is committed to building a sustainable business over the long term and is trusted worldwide for upholding high standards of corporate governance, social responsibility, environmental protection and employee diversity. It employs 75,000 people, nearly half of who are women. The Group's employees are of 115 nationalities, of which 60 are represented among senior management.

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. 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.