Associate Director, Business Process & Control

  • competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Bank of Singapore
  • 21 May 18 2018-05-21

Reporting to Head of Business Process & Control, the incumbent would assist to maintain the Front Office (“FO”) procedures and product cue card, to perform self-assessment against regulatory requirements and risks & controls, and to investigate client complaints.

Main Duties:
• To maintain and update the FO procedures and product cue card when the suitability and selling process policy is updated.
• To perform gap analysis against regulatory requirements and implement effective controls for gap closure.
• To conduct periodic internal risk & control self-assessment to identify any control weaknesses in existing processes and embed effective controls in daily process.
• To track any outstanding audit issues raised by external and internal auditors.
• To collect data and investigate client complaints and ensure timely feedback for closure.
• To participate in projects, such as new control initiatives, system implementation, remediation exercise, etc.
• To carry out any other ad hoc tasks to be assigned by the Head of Business Process & Control.
Competence Requirements:
• 5-8 years of private banking experience.
• Familiar with the HKMA and SFC regulations in suitability and selling processes.
• Knowledge of various investment products.
• Excellent communication skills with different stakeholders including senior bankers and management.
• Well organized, independent as well as a good team player and be able to work under pressure and to meet tight deadlines.

NOTICE TO THIRD PARTY AGENCIES Please note that we do not accept unsolicited resumes from recruiters or employment agencies. Any unsolicited resumes, including those submitted to hiring managers, are deemed to be the property of Bank of Singapore.