Your new company

Your new role

• To perform control reviews in order to assess cases which do not meet the Investment Suitability disclosure requirement

• Reviews will be time-critical (including review of front office communications with clients; detailed email review, detailed review of internal contact notes / call reports, tape listening).

• 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 how over time it may be improved.

What you'll need to succeed

• Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal

• 3–4 years' experience working in the Banking Industry, preferably in the wealth management sector with investment suitability/ product knowledge

• Proficiency in English and Mandarin/Cantonese

• Good knowledge of wealth management financial products and services

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.