(Senior) Process & Quality Monitoring Manager, Private Banking

A reputable China-based Bank with its Group Company listed in Hong Kong is looking for a Process & Quality Monitoring Manager in supporting a brand-new set up of Private Banking Division.

Responsibilities:

• Conduct surveillance on transactions and regulated sales activities, including pre-trade, post-trade and on-going monitoring process to access the quality of transactions and regulated sales activities and adherence to proper standards and procedures

• Prepare management information and reports on sales process qualities on a regular basis

• Formulate the related operation policy and procedures for the Division

• Access and identify internal process weaknesses to implement necessary rectifications or changes in control procedures

• Responsibilities include handling regulatory requests and compliance reviews when necessary

• Be responsive to queries about the investigations and related risk mitigation measures raised by business and relevant units

Requirements:

• Degree holder preferably in Business, Finance, Accounting, Economics or related disciplines

• Good knowledge of private banking products and good understanding of relevant HKMA and SFC rules, regulations, practices and guidelines is preferred

• At least 5 years of experience in the banking control, monitoring and surveillance sectors. Field experience of private banking is priority and preferably with experience of retail banking, risk management or compliance

• Proficient in both spoken and written English and Chinese, fluent in Putonghua is preferable

• Candidates with more experience can be considered as Senior Manager Level

Interested parties please send your resume in word format with current & expected salary and notice period to dickson@hkjobc.com. For details, please feel free to contact Dickson at 5428 794