Job Openings (Senior) Process & Quality Monitoring Manager, Private Banking

About the job (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.


  • 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


  • 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 For details, please feel free to contact Dickson at 5428 794