Manager, Sales & Operations Support (Private Banking) (HK$30K - $40K)

Global Executive Consultants Ltd.; Hong Kong; On-site; HKD 335,000 - 446,000; Full time

Job summary

Global Executive Consultants Ltd. in Hong Kong is partnering with a Chinese Based Bank to recruit a Manager, Sales & Operations Support in Private Banking. The role involves monitoring transactions and regulated sales to ensure policy compliance and strong controls.

You will prepare regular MIS and reports on sales process quality, identify control gaps, and coordinate remediation actions. Also handle regulatory requests and ad-hoc assignments, with the ability to respond to queries from

Qualifications

• Degree holder required.
• Strong knowledge of HKMA/SFC rules preferred.
• 4+ years in transaction surveillance and compliance.

Responsibilities

• Conduct surveillance on transactions and regulated sales activities to assess compliance.
• Prepare regular MIS and reports on sales process quality with trends and exceptions.
• Identify control gaps and recommend remediation actions.
• Handle regulatory requests and ad-hoc assignments as required.
• Respond promptly to queries from business units regarding investigations and risk mitigation.
• Support marketing campaigns coordination or other ad hoc duties.

Skills

Transaction surveillance

Sales processes

Regulatory compliance

Independent worker

Education

Bachelor's degree

Job description

Manager, Sales & Operations Support (Private Banking) (HK$30K - $40K)

We are currently partnering with a Chinese Based Bank to recruit a Checker for their Transaction & Sales Surveillance function under the Private Banking Department. In this role, you will play a key part in monitoring transactions and regulated sales activities to ensure adherence to internal policies, regulatory standards, and robust control frameworks.

Responsibilities

• Conduct surveillance on transactions and regulated sales activities, covering pre-trade, post-trade, and ongoing monitoring processes, to assess the quality of execution and compliance with the Bank’s standards and regulatory requirements.
• Prepare regular management information and reports on sales process quality, highlighting key trends, exceptions, and areas for improvement.
• Identify and assess internal process weaknesses or control gaps, and recommend appropriate remediation actions or enhancements to control procedures.
• Handle regulatory requests, compliance reviews, and related ad-hoc assignments as required.
• Respond promptly and professionally to queries from business units and relevant stakeholders regarding investigations, findings, and risk mitigation measures.
• Perform other duties such as marketing campaigns coordination or ad hoc assignment as assigned.

Requirements

• Degree holder.
• Sounds knowledge of private banking products and good understanding of relevant HKMA and SFC rules, regulations, practices and guidelines is preferred.
• At least 4 years of experience with strong understanding of transaction surveillance, sales processes and regulatory / compliance requirements within a banking environment. Preferably with experience of private banking / retail banking, risk management or compliance.
• High level of integrity, attention to detail, and ability to work independently under tight deadlines.
• Proficient in both spoken and written English and Chinese, fluent in Mandarin is preferable.

Company Overview

Global Executive Consultants Limited (GlobalExec) is one of the most successful and fast growing total human resources solution providers in Asia. We specialize in industries including Banking & Finance, Information Technology, Commerce, Retails, FMCG and Luxury etc. We work with many leading reputable Banks, Financial Institutions and many Multinational Corporations. Our Consultants are all experienced professionals in specialized industries that possess strong business acumen and commercial awareness, hence able to deliver our best practice at all time.

Address: Suite 602-3, 6/F, Wing On Centre, 111 Connaught Road Central, Hong Kong