Business Risk Specialist (Investment Suitability)
11 months ago
We’re looking for Business Risk Specialist! One of the top tier bank is currently looking for a Business Risk Specialistto expand their team. We’..
We’re looking for Business Risk Specialist! One of the top tier bank is currently looking for a Business Risk Specialistto expand their team. We’re looking for candidate with good communications skills, analytical and problem solving skills to join the team! If you are able to work under pressure and meet submission deadlines with minimal advice, you are the one! Job Responsibilities: To perform control reviews in order to assess cases which do not meet the Investment Suitability disclosure requirement Reviews will be time critical and required to be performed in line with a newly agreed control review methodology which includes review of front office communications with clients, including (i) detailed email review, (ii) detailed review of internal contact notes / call reports, and (iii) if required, tape listening. To carefully document the review approach, comprehensively document the review findings and provide a final assessment / conclusion for cases requiring discussion or escalation Become a subject matter expert ('SME') on the control, giving considered feedback on how the control is operating and if and how over time it may be improved What you'll need to succeed: Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal, and experience working in the Banking Industry. Risk-oriented personality who has the ability to differentiate borderline risk issues from critical fraudulent. Proficiency in Cantonese, besides English and Mandarin Hays Registration Number: 200609504D, EA License: 07C3924, Registration ID Number: R22108490
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