Top-tier Investment Bank

Your role
- Do you have a Compliance, Controls, Investigations and/or Audit background with solid experience in the wealth

management industry?
- Are you able to evaluate, interpret and challenge complex information carefully?
- Are you trustworthy in maintaining high business standards, while driving the business forward?
- Do you know how to organize and prioritize your work to meet key deadlines?
- Are you able to challenge colleagues in a constructive way?
- Are you a self-starter within initiative, able to own and drive complex projects, while keeping management

informed of regular progress?

We are looking for a high caliber individual with these qualities to assist the following:

- 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

review, (ii) detailed review of internal contact notes / call reports, and (iii) if required, tape listening. Other

review methods may be deployed and may be pre-agreed with supervisor
- To carefully document the review approach, comprehensively document the review findings and provide a

final assessment / conclusion for cases requiring discussion or escalation

operating and if and how over time it may be improved
- A strong team player, positive attitude and
- Assist the Supervisor with other control tasks & provide trainings to the team members as and when

required.

Your team

You’ll be working in Front Line Support (FLS) team locally report into the Wealth Management APAC Business Risk

Organization (BRO) team. Front Line Support is a dedicated independent team as a 1st line of Defense in the Control

Framework to execute ex-post Controls.

As 1st Line of Defense in the Control Framework structure, we execute Controls checks (ex-post) on our Origination

Units who are based in Hong Kong, Singapore & Dubai. The Controls are primarily driven by Local Regulators

[Monetary of Authority of Singapore (MAS) and Hong Kong Monetary Authority (HKMA)] and also from our Global

Head Office.

Your experience and skills

You have:

- Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal, and at least 3-4

years' experience working in the Banking Industry, preferably in wealth management sector with investment

suitability/ products knowledge

Front Line Staffs based in Hong Kong office as well to perform tape listening
- Good knowledge of wealth management financial products and services

You are:

- Risk-oriented personality who has the ability to differentiate borderline risk issues from critical fraudulent
- Detail oriented, experienced in managing & reducing risk, developed analytical skills, strong listening capabilities
- a clear communicator, with exceptional interpersonal skills and a good listening skill
- open to continuous learning and continuous education both within the team and with Business Partners and

Front Line staffs
- creative approach to problem solving & challenging existing processes to drive improvements
- Proactive, independent, Client-Oriented and well-organized Individual

**Job Types**: Full-time, Contract
Contract length: 12 months

Schedule:

- Holidays
- Monday to Friday
- On call
- Weekend availability

Work Location: In person

Expected Start Date: 02/06/2025