Business Risk Specialist - Level 2

Brilliant job opportunity with a top tier investment bank in Hong Kong.

Your new company
My Client is a top tier investment bank located in Hong Kong. They are currently looking for a Business Risk Specialist to join their team.

Your new role
  • To perform control reviews in order to assess cases which do not meet the Investment Suitability disclosure requirement
  • Reviews will be time critical and required to be performed in line with a newly agreed control review methodology which includes review of front office communications with clients, including (i) detailed email review, (ii) detailed review of internal contact notes / call reports, and (iii) if required, tape listening. Other review methods may be deployed and may be pre-agreed with supervisor
  • To carefully document the review approach, comprehensively document the review findings and provide a final assessment / conclusion for cases requiring discussion or escalation
  • Become a subject matter expert ('SME') on the control, giving considered feedback on how the control is operating and if and how over time it may be improved
  • A strong team player, positive attitude and
  • Assist the Supervisor with other control tasks & provide trainings to the team members as and when required.

What you'll need to succeed
  • Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal, and at least 5-7 years' experience working in the Banking Industry, preferably in wealth management sector with investment suitability knowledge
  • Sound knowledge of wealth management financial products, structured products, derivatives etc
  • Proficiency in Cantonese, besides English and Mandarin as the candidate is required to communicate well with Front Line Staffs based in Hong Kong office as well to perform tape listening

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV. If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career. #1179734


Job Type
Banking & Financial Services
Banking and Financial Services

Talk to a consultant

Talk to Kenneth Sze, the specialist consultant managing this position, located in Hong Kong
6604-06,66/F, ICC, 1 Austin Road West, West Kowloon

Telephone: 0376118600

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