Internal Control Manager M/F

Outline of the Position

• Support the Internal Control Team for Private Banking Hong Kong by monitoring Front Office selling processes and related activities. Ensure effective risk identification, control execution, and compliance with regulatory and internal requirements.

Key Responsibilities

• Execute and monitor FO control activities, including transaction monitoring, suitability mismatch control, third-party fund transfer controls, fee and commission controls, best executions, etc
• Ensure control execution meets standards of timeliness, completeness, and accuracy, with proper documentation of evidence
• Identify control lapses and recommend improvements to control design and effectiveness
• Provide advisory and guidance to Front Office on control matters; elevate issues appropriately and drive follow-up remediation actions
• Collaborate with Front Office, Investment Advisors, Product Specialist, Compliance and Risk to ensure Private Banking operates within a robust and compliant risk and control environment
• Work closely with the Internal Control Team in Singapore to create synergies, and support initiatives to automate and streamline control processes
• Support the Head of Operational Risk Management & Quality Assurance, Asia in strengthening the control framework and contributing to management reporting and procedures update
• Participate in HKMA onsite examinations and internal/external audits, including evidence preparation and responses to findings
• Perform ad-hoc tasks/projects as assigned and deliver timely updates on assigned workstreams