Support the Internal Control Team for Private Banking Hong Kong by monitoring Front Office selling processes and related activities. Ensure effective risk identification, control execution, and compliance with regulatory and internal requirements.
Key Responsibilities
Execute and monitor FO control activities, including transaction monitoring, suitability mismatch control, third-party fund transfer controls, fee and commission controls, best executions, etc
Ensure control execution meets standards of timeliness, completeness, and accuracy, with proper documentation of evidence
Identify control lapses and recommend improvements to control design and effectiveness
Provide advisory and guidance to Front Office on control matters; escalate issues appropriately and drive follow-up remediation actions
Collaborate with Front Office, Investment Advisors, Product Specialist, Complian...
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