Senior Associate, Business Surveillance Analyst

  • Competitive Salary Package
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Bank of Singapore
  • 16 Jul 18 2018-07-16

Senior Associate, Business Surveillance Analyst


  • Assist Business Monitoring & Surveillance team (“BMS” team)  in performing relevant analysis on historical clients’ transactions and conduct periodic surveillance review
  • Provide other necessary assistance as required by BMS Team
  • Participate in the design, enhancement and management of a surveillance monitoring program for BOS HK.
  • Participate to refine / enhance the surveillance scope and methodology with robust risk control in order to meet HKMA/GA expectation
  • Conduct surveillance monitoring to review BOS’ investment suitability/selling process, cross border, and code of conduct in line with regulatory requirements and internal policies and procedures.
  • Highlight the control issues arising from the surveillance monitoring and escalate such issues to Team Head and escalate surveillance MIS to senior management and relevant governance forum in a timely manner.
  • Assist in consolidation of Front Office Marketing Scorecard and review results.
  • Engage Front staff and Market Head in a structured way to deal with any surveillance offenders and to manage the exception rate of key issues.
  • Assist in preparation and timely submission of Head Office and Management reports with respect to areas concerning surveillance monitoring program.
  • Participate in investigation on staff misconduct cases and/or control issues.
  • Provide advice to the Front Office on requirement of relevant surveillance testing program.
  • Conduct and contribute to the training for surveillance induction program or respective team meetings for new joiners and existing staff, where applicable.
  • Assist in risk control self-assessment for BMS Team.
  • Maintain Key Risk Indicators (KRI) for BMS Team.
  • Support the preparation/follow-up on internal/external audit and regulatory inspection.
  • Assist Team Head to assure the completion of surveillance monitoring program for BOS HK.


  • Minimum 3-5 years of Hong Kong banking surveillance related experience, preferably in investment suitability monitoring
  • Familiar with Private Banking activities with 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 skill as well as interpersonal abilities, stress resistant
  • Open mind to change for streamlining and to improve in the control environment
  • Ability to work in a multi-cultural environment
  • Good PC and MS Excel skill

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.