Business Surveillance Officer (6-month contract, renewable)
- Perform regular sample control reviews on product trades done by Business team e.g., OTC trade tickets, tape-recording, client / product documents, product fact sheets, regulatory requirements etc., to identify and monitor on-going control weaknesses
- Assist in reviewing business control processes such as product activities / change in policies and procedures to identify and quantify gaps and develop and implement action plans to align with global and WM standards and to comply with the local regulations
- Maintain consistency with global policy and regulatory standards and actively address control aspects for the HK based activities to ensure good business management is in place
- Work with relevant stakeholders to actively implement and report on adherence and remediate, where necessary change of Business product requirements.
- Ensure to follow up any observation item(s) with Front Office staff and escalate to the management if there is any non-compliance activity against the product trades checklist.
- Prepare regular product trade review / control report and highlight any outstanding and significant risk item(s).
- Provide good quality control on operational and transactional risks to protect the interests of clients and the Company
- Assist in performing anti-fraud controls via sample review of tape recording and on key business and operations' processes/transactions to ensure adherence to the Company's policies and procedures
- Develop process control tool sets for different products and monitor the open items
- Ensure that local regulatory and audit requirements are identified and met
- Assist in ad-hoc projects and control related matters
- University graduate in Finance, Business or related discipline
- Minimum 2 years of working experience in financial industry preferably risk management or operation control function within banking or brokerage industry
- Knowledge in SFC/HKMA regulatory and outsourcing requirements will be an advantage
- Good spoken and written English is a must, preferably with an additional good spoken Asian language
- Proficient in Microsoft Word, Excel and Powerpoint
- Immediately available is preferred
Please contact Jessie Lam on email@example.com/ +852 2537 0333 for a confidential discussion