- Actively identifies, manages, and mitigates risk arising from business activities including but not limited to AML/KYC risk and investment suitability.
- Assure activities performed by the frontline in quality such as CIPs, account documentations and periodic review
- Proactively collect feedbacks from the frontline to improve the efficiency of the day-to-day operations
- Ensure the PB department to comply with local rules and regulations (., pre-trade selling suitability assurance reviews, audit items, operational risk incidents
- Keep track with the periodic review progress and drive for timely completion
- Display exemplary conduct and live by the Group's Values and Code of Conduct
- Any ad-hoc tasks assigned
- Work jointly with Business Risk Management to smoothen the sales process without compromising the control effectiveness
- Support CRO/CSO on-boarding
- Provide on-going training to new / existing CROs and CSOs on systems, processes, and policies
- Approve the periodic reviews / CIP updates in accordance with his/her authority delegation and ensure sufficient oversight in the area
- Approve the pre-trade exceptions such as over concentration and other mismatches
- Ensure appropriate PB representation in Risk and Compliance governance committees
- Support local PB COO in the review and refinement of the FLoD framework
- Lead/ participate in the various projects which supports the strategic vision of the HK Branch
- Conduct regular meetings with group functional units / local functional units to enhance collaborations and efficiency workflow / process enhancement (. meeting with SG PBS to ensure the regional alignment)
- Conduct regular Front Office meetings to ensure that the updated bank operation requirements are well communicated
- Continuously maintain and improve effective communication with the three lines of defense to ensure compliance with the latest regulatory standard
- Lead the team of PBS to drive client-centric process enhancements to improve better client experience, higher service standards, operation efficiency and productivity of the frontline
- Set clear team goals to ensure staff have clarity of roles and responsibilities
- Ensure the competence of staff members with necessary skills to perform the roles
- Groom the staff through various exposure in meeting/project involvement, coaching and mentoring
- Identity relevant training/industry seminars, etc suitable for staff member to attend
- Monitor team performance, regular feedback given and performance appraised fairly
- Motivate team members and ensure teamwork, guided by EFG corporate values to build a strong positive culture
- A university degree and minimum of 10 years working experience in financial services, preferable in private banking
- Solid understanding of regulatory and compliance regimes relevant
- HKMA licensed
- A risk-oriented personality that can balance business needs with risks and controls
- Excellent problem-solving skills with focus on identifying root causes and areas for process improvement, with a holistic view to connect the issues into a wider context
- Experience in team management
- An excellent communicator with persuasive presentation skills
- Experience in providing business-related services and support in a large organization including the ability to deal with people and influence them to achieve objectives
- Able to work independently and autonomously while maintaining strong working relationships across time zones and build partnerships internally with stakeholders
- Well organized, with an innate sense of how to prioritize and execute–committed to ensuring smooth day to day business operation
- Demonstrated ability to work on multiple projects of high complexity
- A solid working understanding of Excel, PowerPoint and SharePoint. Data analysis using Excel.
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Head of Private Banking Support - Hong Kong, 香港 - EFG International
描述
Main Duties & Responsibilities
HoPBS is responsible for the First Line of Defense ("FLoD") to ensure an effective, risk-controlled and regulatory compliant operating environment in place for the PB function based in HK and provides the assistance to the PBCOO in enhancing and overseeing the FLoD control environment
Training:
Organisational:
Interactions with Local & Functional Report:
Staff Management:
Qualifications Requirements
Preferred Skills
