Associate, COO Suitability & Risk Control — Flexible Hours

Standard Chartered; Hong Kong; Híbrido; HKD 420.000 - 700.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Flexible working options

Wellbeing programs

Learning & development opportunities

Descripción de la vacante

Standard Chartered in Hong Kong is seeking a Sales & Transaction Surveillance Review professional to perform surveillance reviews, voice log reviews, and suitability assessments to ensure advisory activities comply with bank policy and regulations.

You will detect mis-selling, conduct investigations, analyze trends, and collaborate with Compliance, COO, and other units to implement regulatory requirements and improve controls across front office operations.

Formación

• Degree holder with 3-5 years of solid experience in banking operations and risk control, preferably in private banking or wealth management
• Able to analyse situations, prioritise, implement processes, solve problems 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

Responsabilidades

• 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

Conocimientos

Conduct management

Risk management

People management

Products and processes

Strategy and business model (SIF)

Educación

Bachelor's degree or higher in a relevant field

Herramientas

MS Excel

PowerPoint

Word

Descripción del empleo

Standard Chartered in Hong Kong is seeking a Sales & Transaction Surveillance Review professional to perform surveillance reviews, voice log reviews, and suitability assessments to ensure advisory activities comply with bank policy and regulations.

You will detect mis-selling, conduct investigations, analyze trends, and collaborate with Compliance, COO, and other units to implement regulatory requirements and improve controls across front office operations.