Manager, Sales & Operations Support (Private Banking) (HK$30K - $40K)
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.
Job Duties
- 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.
Job Requirements
- 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.
- Job No.:
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27743
- Date:
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02/10/2026
- Job Category:
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Banking
- Salary:
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$Neg.
- Qualification:
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Degree
- Apply Email:
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[email protected]
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