Category
Industry
Salary Range
- Business/Investment Risk & Compliance Review
- Diversified Investment Product Exposure
- Well Respected Global Private Bank
- Tasked with the account abilities to oversight investment product due diligence, risk profiling and suitability
- Responsible for ensuring the adherence to HKMA/SFC latest regulatory requirements for new & existing products/gap analysis etc.
- Accountable for conducting product suitability assessment, selling process review, client disclosure and implementing compliance monitoring & control
- Regional Front office Business Mgmt Support
- Business Performance, Financials Review & KPIs
- Comprehensive Bank Benefit & Worklife Balance
- Provide insightful and value-added business performance/KPIs/financial analytics to North Asia Branch CEO, senior management and Front office across the region/headquarters
- Serve the key contact point for front office RMs/ARMs to tackle any client related aspects & daily business activities including account opening, suitability and trades
- Represent front office to liaise with L&C, operations and support functions for new business/products and regulatory/remediation related initiatives
- Expansion Headcount, Global Private Bank
- Market & Liquidity Risk Mgmt/Reporting
- Cross asset classes of Investment Products
- Report to the Regional Head of Risk Management
- Monitoring market and liquidity risk mgmt in accordance to the regulatory requirements & corporate governance
- Provide guidance to front office and product teams and on-going framework review along with the support of compliance
- Est. Regional Private Wealth Mgmt Franchise
- Business and Risk Management Functions
- Excellent worklife balance & int’l culture
As part of the Regional Business Management Function to perform the following:-
- Tasked with the mission to monitor Front Office daily business activities including suitability, account opening, AML, product advisory and Investment related aspects
- Facilitate new business/products and transformation/regulatory initiatives
- Review daily activities to ensure fulfilment of regulatory requirements/corporate governance
- Top Ranking Int’l Private Bank
- Business Continuity Planning/Physical Security
- Job Security & Comprehensive Bank Benefits
Report to the North Asia Regional Head of Corporate Services/BCP, the successful job holder will be accountable for the following-
- Oversee the strategic planning & implementation of BCP framework/policies for the North Asia Region
- Review of BCP policies across FTB Offices from identifying critical functions; conducting business impact analysis to ensuring business continuity to cater for pandemic, environmental and social related crisis.
- Ensure BCP/Physical Security programs is adhere to corporate governance and regulatory compliance requirements
- Investment Product Risk, Suitability & Governance
- Multi-Asset Classes of Investment Products
- Dynamic Front Office Risk Control Exposure
- Tasked with the accountabilities to facilitate investment product suitability review, investigation and risk control governance
- Responsible for ensuring the adherence to HKMA/SFC regulatory requirements for its’ new & existing products
- Serve as the bridge and gatekeeper between Product Specialists, Private Bankers and Compliance Departments along with senior management/headquarters
- Boutique Global Private Bank
- Front Office Business Risk & Surveillance Team Head
- Friendly international culture with excellent worklife balance
- 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
- UK Listed Global Private Bank
- North Asia Business Risk Management
- Function Head of 1st line of Defense
- 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
- International Capital Markets Banking Group
- Liquidity & Market Risk for HK/SGP Branches
- Oversight Risk Mgmt of FICC Front office
- Serve as the 2nd line of defense with specialization in Liquidity & Market Risk Management for HK & SGP Branches
- Provide ongoing liquidity & market risk monitoring & advisory to FICC sales traders
- Liaise with FO sales traders, risk professionals to ensure the fulfilment of regulatory requirements & corporate governance
- Global Institutional & Retail Asset Manager
- Expansion AP Portfolio Mgmt Control Headcount
- Oversight Front to Back Office Investment Control
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Oversight the timely/accurate trade orders input/execution, monitoring of liquidity/cashflow, investment compliance/restrictions by working closely with internal support functions across L&C, Back Office operations, Sales/Business Development teams & externally with custodian/brokers
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Ensure the fulfilment of liquidity, investment compliance and regulatory & risk control through continuous monitoring of portfolio transaction
- Active participation in new markets/product related initiatives in addition to global operating projects