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Investment Product Risk & Compliance AVP, Global Bank (BB-220F5)

Found in: Neuvoo Bulk HK

Description:

Investment Product Risk & Compliance AVP, Global Bank

  • Investment Product Risk & Compliance Review
  • Diversified Investment Product Exposure

Job Duties

  • Tasked with the accountabilities to oversight investment product due diligence, risk profiling and suitability
  • Responsible for ensuring the adherence to HKMA/SFC regulatory requirements for new & existing products
  • Accountable for conducting product suitability assessment, selling process review, client disclosure and implementing compliance monitoring & control
  • Serve as the bridge and gatekeeper between Product Specialists, Private Bankers and Compliance Departments along with senior management/headquarters
  • Identify competitive product strategies/solutions and on-going review by working closely with 3rd parties product providers

Requirements

  • Well qualified graduate with 5 years+/- Investment Product Compliance & Risk Advisory experience
  • Sound HKMA/SFC regulatory knowledge and understanding of private wealth management business is highly desirable
  • Strong communication and interpersonal skill
  • Self motivated team player with excellent analytical and problem solving skills
  • Strong proficiency in English and Mandarin is highly desirable
  • Regional Discretionary Portfolio & Investment Management 
  • Front office Exposures with UHNW Client Mandate Review 
  • International and well-established platform 
Job Duties
  • Assistant Portfolio Managers in delivering an outstanding investment proposition 
  • Supporting high net-worth clients’ portfolio rebalancing, cash and trade monitoring 
  • Ensure the timely execution of investment transaction 
  • North Asia Clients’ Accounts Documentation
  • Multiple Levels of Perm/Contract Openings 
  • Stable and International career platform
Job Duties
  • Report to the Department Head and responsible for account opening & periodic documentation review by working closely with front office relationship managers/private bankers and compliance department
  • Review and ensure validity of account/accurate KYC documentation
  • Serve as the Account Documentation subject matter expert to ensure the adherence of HKMA requirement and corporate governance
Job Duties
  • Provide comprehensive investment advisory & sales support to a small team of professional Investment Advisors & Product Specialists
  • Responsible for trade execution and ongoing portfolio management 
  • Tackle any product related enquiries by working closely with front office bankers & ARM and operations team 
  • Front Office Business Risk & Surveillance Team Head
  • Friendly international culture with excellent worklife balance
Job Duties
  • Assume FO Business Risk Management function by supervising a small team of 2
  • As 1st line of defense to oversight full spectrum of FO risk aspects including Product Suitability/Selling Process; Deposit Protection Scheme/Payments etc. 
  • Manage suitability review programs and resolve any escalated issues by working in partnership with Compliance, Risk, COO Mgmt office
  • Assume the Functional Head of Business Risk Management for the North Asia Branch
  • Tasked with the mission to oversight the front office surveillance & ensure daily business activities fulfills regulatory & corporate governance by managing a team of 7
  • Extensive liaison with Business, Senior Management, COO, Compliance/OR to drive and implement effective risk control measures across line of business
  • calendar_today1 day ago

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