Internal Control Manager M/F

Indosuez Wealth Management; Hong Kong; On-site; HKD 700,000 - 1,200,000; Full time

Job summary

Indosuez Wealth Management in Asia Hong Kong is seeking an Internal Control Manager to strengthen front-office controls within Private Banking. You will monitor selling processes, ensure risk identification and compliance, and support audits and regulatory examinations.

The role requires 6–10 years of relevant risk control experience, fluency in English, Cantonese and Mandarin, and strong documentation and communication skills. This is a permanent, on-site position based in Admiralty, Hong Kong.

Qualifications

• Bachelor Degree / BSc Degree or equivalent.
• 5–7 years relevant experience in risk control/compliance testing within financial services.
• Fluency in English; Cantonese and Mandarin are a plus.

Responsibilities

• Execute and monitor FO control activities, including transaction monitoring, suitability mismatch control, third-party fund transfer controls, fee and commission controls, best executions, etc
• Ensure control execution meets standards of timeliness, completeness, and accuracy, with proper documentation of evidence
• Identify control lapses and recommend improvements to control design and effectiveness
• Provide advisory and guidance to Front Office on control matters; escape issues appropriately and drive follow-up remediation actions
• Collaborate with Front Office, Investment Advisors, Product Specialist, Compliance and Risk to ensure Private Banking operates within a robust and compliant risk and control environment
• Work closely with the Internal Control Team in Singapore to create synergies, and support initiatives to automate and streamline control processes
• Support the Head of Operational Risk Management & Quality Assurance, Asia in strengthening the control framework and contributing to management reporting and procedures update
• Participate in HKMA onsite examinations and internal/external audits, including evidence preparation and responses to findings
• Perform ad-hoc tasks/projects as assigned and deliver timely updates on assigned workstreams

Skills

Analytical skills

Independent judgement

Communication skills

Team player

Documentation skills

Education

Bachelor Degree / BSc Degree or equivalent

Tools

MS Word

MS Excel

MS PowerPoint

Job description

Types of Jobs - Risk Management / Control

Job title

Internal Control Manager M/F

Contract type

Permanent Contract

01/09/2026

No

Job summary

Outline of the Position

• Support the Internal Control Team for Private Banking Hong Kong by monitoring Front Office selling processes and related activities. Ensure effective risk identification, control execution, and compliance with regulatory and internal requirements.

Key Responsibilities

• Execute and monitor FO control activities, including transaction monitoring, suitability mismatch control, third-party fund transfer controls, fee and commission controls, best executions, etc
• Ensure control execution meets standards of timeliness, completeness, and accuracy, with proper documentation of evidence
• Identify control lapses and recommend improvements to control design and effectiveness
• Provide advisory and guidance to Front Office on control matters; escape issues appropriately and drive follow-up remediation actions
• Collaborate with Front Office, Investment Advisors, Product Specialist, Compliance and Risk to ensure Private Banking operates within a robust and compliant risk and control environment
• Work closely with the Internal Control Team in Singapore to create synergies, and support initiatives to automate and streamline control processes
• Support the Head of Operational Risk Management & Quality Assurance, Asia in strengthening the control framework and contributing to management reporting and procedures update
• Participate in HKMA onsite examinations and internal/external audits, including evidence preparation and responses to findings
• Perform ad-hoc tasks/projects as assigned and deliver timely updates on assigned workstreams

Geographical area

Asia, Hong Kong

City

29th Floor, Two Pacific Place, 88 Queensway, Admiralty Hong Kong Hong-Kong

Bachelor Degree / BSc Degree or equivalent

Universitydegree holder

Level of minimal experience

6-10 years

Experience

5 – 7 years relevant experience in risk control/compliance testing within financial services

Required skills

• Strong knowledge of Private Banking selling processes, FO activities, and relevant regulatory requirements
• Proactive, independent judgement, strong analytical and problem-solving skills
• Excellent writing and documentation skills for control files and reports
• Strong team player and good communication skills

Technical skills required

Proficient in MS Word, Excel, PowerPoint

Languages

Fluent in English and Cantonese & Mandarin (spoken and written)

General information

Entity

About Indosuez Wealth Management in Asia

Entity

About Indosuez Wealth Management in Asia
Indosuez Wealth Management has a solid foundation in Asia as a pioneering bank with more than a century old heritage, when Banque de l'Indochine opened its historic offices in Hong Kong and Singapore. From these two locations, branches of
CA Indosuez (Switzerland) SA, almost 220 highly specialised wealth managers combine their knowledge of the region with the vast opportunities provided by the global network of Indosuez Wealth Management and the Credit Agricole group.
By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities.