Private Banking Sales & Operations Surveillance Manager

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

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