Job Function
Risk Management
Description
Responsibilities- Perform post-trade business controls in the area of client and sales suitability (eg. voicelog review) and other aspects of operational controls
- Possess good understanding of sales suitability requirements in the areas of risk, tenor, investment experience mismatches, investment rationale, concentration breaches, etc.
- Perform checks on customized statements and ensure that they are sent out to clients within stipulated timeline.
- Validate client trading suitability (eg. product suitability, risk mismatch, concentration, DPM restrictions check, etc.) and perform trade documents deficiency follow-ups.
- Prepare MIS reporting
Requirements:
- Bachelor degree
- Compliance, risk and control experience with client suitability and monitoring exposure
- Good banking product knowledge including FX, money market, fund transfer, equities, fixed income and derivatives
- Strong Excel skills
- Good interpersonal and communication skills
- Self-motivated with the ability to work under time pressure with accuracy
- Fluent in English, Cantonese and Mandarin
Job ID: 80878228
