Business Surveillance Officer (6-month contract, renewable)

Aquis Search
Hong Kong
HK$ 20-25k base per month
07 Aug 2017
15 Aug 2017
Contract Type


  • 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 +852 2537 0333 for a confidential discussion