Job Opening - Global Executive

We are currently partnering with a Chinese Based Bank to recruit a Checker for their Transaction & Sales Surveillance function under the Private Banking Department. In this role, you will play a key part in monitoring transactions and regulated sales activities to ensure adherence to internal policies, regulatory standards, and robust control frameworks.

Conduct surveillance on transactions and regulated sales activities, covering pre-trade, post-trade, and ongoing monitoring processes, to assess the quality of execution and compliance with the Bank’s standards and regulatory requirements.
Prepare regular management information and reports on sales process quality, highlighting key trends, exceptions, and areas for improvement.
Identify and assess internal process weaknesses or control gaps, and recommend appropriate remediation actions or enhancements to control procedures.
Handle regulatory requests, compliance reviews, and related ad-hoc assignments as required.
Respond promptly and professionally to queries from business units and relevant stakeholders regarding investigations, findings, and risk mitigation measures.
Perform other duties such as marketing campaigns coordination or ad hoc assignment as assigned.

Degree holder.
Sounds knowledge of private banking products and good understanding of relevant HKMA and SFC rules, regulations, practices and guidelines is preferred.
At least 4 years of experience with strong understanding of transaction surveillance, sales processes and regulatory / compliance requirements within a banking environment. Preferably with experience of private banking / retail banking, risk management or compliance.
High level of integrity, attention to detail, and ability to work independently under tight deadlines.
Proficient in both spoken and written English and Chinese, fluent in Mandarin is preferable.

Manager, Sales & Operations Support (Private Banking) (HK$30K - $40K)