COO Suitability Analyst - Surveillance & Risk

Standard Chartered Bank (Hong Kong) Ltd; Hong Kong; On-site; HKD 480,000 - 720,000; Full time

Benefits offered by this job

Annual leave

Parental/maternity leave

Flexible working

Wellbeing & development programs

Diversity & inclusion

Job summary

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

Qualifications

• 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.

Responsibilities

• 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.

Skills

Conduct management

Risk management

People management

Products & processes

SIF/Strategy

Education

Bachelor's degree

Tools

MS Excel

PowerPoint

Word

Job description

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