Officer, Sales and Transactions Assurance, Private Banking

Standard Chartered Bank Hong Kong
Hong Kong
09 Aug 2017
14 Aug 2017
Contract Type
  • Perform controls over front office activities to ensure advisory services/ selling process are conducted in compliance with Bank's policy and regulatory requirements
  • Facilitate communication between front office and the team

Key Roles and Responsibilities

  • Involve in pre-trade and post-trade suitability monitoring to ensure actions are taken for potential non-compliant trades as per the Bank's internal policy and regulatory requirements, e.g. reviews on regulatory client classifications (PI, IC PvB Cust), product risk rating and client risk profile mismatch, product knowledge & experience, Investment rationale etc
  • Monitor and conduct quality reviews on Investment Questionnaire, Investment Portfolio Review and Client Contact Reports
  • Involve in call monitoring review, escalation of exception cases, follow up rectification and outstanding issues
  • Assist in MIS reporting such as providing statistics and trend analysis relating to investment suitability and call monitoring findings
  • Assist in ad hoc projects from time to time

Qualifications and Skills

  • University graduate
  • At least 2 years of solid experience in banking operations and risk control, preferably in private banking business or wealth management
  • Detail minded, mature, tactful, independent, initiative and well organized
  • Strong control sense, able to identify potential risk and provide valid recommendations
  • Excellent communication and interpersonal skills
  • Ability to analyse situations, prioritise, implement processes, solve problem effectively and work independently
  • Good command of written and verbal English and Chinese
  • Proficiency in MS Excel, PowerPoint and Word is a must

Diversity and Inclusion

Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.