Risk Analyst (Business Monitoring & Surveillance Team) - 1 Year Contract Risk Analyst (Business Monitoring & Surveillance  …

Bank of Singapore
in Hong Kong
Contract, Full time
Last application, 15 Sep 21
N/A
Bank of Singapore
in Hong Kong
Contract, Full time
Last application, 15 Sep 21
N/A
Bank of Singapore is the dedicated private banking subsidiary of OCBC Bank. It has a strong Aa1 credit rating from Moody’s and offers a unique value proposition as a safe Singapore-registered private bank.

Main duties

  • Assist Business Monitoring & Surveillance team (“BMS” team) in conducting periodic surveillance review.
  • Conduct surveillance monitoring in selling process, investment suitability, cross border activities and code of conduct in accordance with regulatory requirements, internal policies and procedures.
  • Identify discrepancies and issues from the surveillance monitoring and communicate with Front Office on the necessary remediation and follow through for closure.
  • Provide guidance to Front Office on selling process and suitability requirements.
  • Prepare statistical report of the surveillance results to senior management and scorecard purpose in a timely manner.
  • Support the preparation/follow-up on internal/external audit and regulatory inspection.
  • Assist Team Head on administrative tasks.
  • Provide other necessary assistance as required by BMS Team.
  • Assist Business Monitoring & Surveillance team (“BMS” team) in conducting periodic surveillance review.
  • Conduct surveillance monitoring in selling process, investment suitability, cross border activities and code of conduct in accordance with regulatory requirements, internal policies and procedures.
  • Identify discrepancies and issues from the surveillance monitoring and communicate with Front Office on the necessary remediation and follow through for closure.
  • Provide guidance to Front Office on selling process and suitability requirements.
  • Prepare statistical report of the surveillance results to senior management and scorecard purpose in a timely manner.
  • Support the preparation/follow-up on internal/external audit and regulatory inspection.
  • Assist Team Head on administrative tasks.
  • Provide other necessary assistance as required by BMS Team.

Qualifications and Requirements

  • Minimum 2 years of Hong Kong banking surveillance related experience, preferably in investment suitability monitoring
  • Familiar with Private Banking activities with a focus on risk and control matters
  • Knowledge of investment products, HKMA and SFC investment suitability related rules, regulations and guidelines
  • Fluent in English (oral and writing skills) and Chinese
  • Good communication skills and be comfortable to speak with Senior Bankers
  • Open minded to changes in cope with regulatory changes and streamlined processes
  • Ability to work in a multi-cultural environment
  • Good PC and MS Excel skills
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