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Business Control Team Lead, Private Wealth Management

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Bettina Chow

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 1 month ago

  • Duration:


  • Expiry date:


  • Startdate:


  • First-line of defense role
  • Leading a small team
  • Good working hours

Key Responsibilities

• Monitor daily activities of private wealth management frontline staff (RM, ARM, IC) are compliant to regulatory requirements and internal policies; and work closely with the second line of defense and different stakeholders on policy and procedure implementation

• Develop quantitative risk control framework for risk identification, measurement, management and reporting

• Regularly review and update internal policies and procedures, to be in line with latest regulations, technology and industry best practices

• Provide guidance on investment suitability check before executing investment transactions for customers

• Provide regular training to frontline staff on regulatory requirements and dealing in securities

Job Requirements

• 8+ years experience in risk control and investment suitability monitoring experience in private banking / private wealth management

• Strong knowledge of regulatory requirements on investment suitability framework/Cross-border Activities/AML/CTF/FATCA/CRS

• Proficient in Cantonese, Mandarin and English

For interested parties, please click Apply Now or send your CV to