Your new role
You’ll be working in Front Line Support (FLS) team locally report into the Wealth Management APAC Business Risk Organization (BRO) team. 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.
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 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. 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
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
A strong team player, positive attitude and
Assist the Supervisor with other control tasks & provide trainings to the team members as and when required.
What you’ll need to succeed
Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal
Strong experience in tape listening, audit of voice logs/recording and order taking
4-5 years’ experience working in the wealth management sector with investment suitability knowledge
Good knowledge of wealth management financial products and services