Associate Director, Business Process & Control
- 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.
• 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.
• 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.
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