PWM Surveillance Analyst

Great Career Opportunity in one of the top tier investment banks!

Your new company

You will be working as Surveillance Analyst with a fast-paced, established foreign investment bank.

Your new role

  • Performs daily supervisory and trade based surveillance reviews to ensure adherence to firm's policy and procedures including but not limited to selling process and suitability, fees monitoring, best execution, cross border restrictions, deposit protection scheme.
  • Manage and provide quality assurance check on the outsourced surveillance teams to ensure that supervisory/surveillance reviews meet our performance criteria.
  • Monitor and identify internal breaches/control gaps and conduct necessary investigations; where required, provide trainings and recommendations to the business.
  • Partner with the AWM business and control partners such as Legal and Compliance to establish risk and control frameworks that align with regulators’ expectations.
  • Participate in ongoing projects to streamline processes including system enhancement to manage the risk of the business in an effective and efficient manner.
  • Analyze reports and perform trend analysis in assessing the risk of the business.
  • Prepare reports to senior management and escalate any issues and exceptions found during surveillance review on a regular basis.

What you'll need to succeed

  • Bachelor’s degree with 2+ years of relevant working experience in the private banking industry as first line of defence.
  • Be able to fluently communicate in English and Mandarin, and Cantonese (preferred).
  • Attentive to detail and strong communication skills.
  • Prior experience in a similar control function in Risk or Compliance and knowledge around regulatory requirement from HKMA, SFC and MAS perspective.
  • Product knowledge of various asset-classes including equity, fixed income, listed and OTC derivatives and banking products.

What you'll get in return

Excellent opportunity awaits you in one of the most prestigious top tier investment banks where you will work in a challenging, fast paced but work-life balanced working environment.

What you need to do now

Click ‘Apply Now’ if you are interested in this role. For further details or a confidential discussion in the industry, please contact Aliyah at Hays via email

Hays Registration Number: 200609504D, EA License: 07C3924, Registration ID Number: R22108490


Job Type
Banking & Financial Services
Banking and Financial Services

Talk to a consultant

Talk to ShanYi Wong, the specialist consultant managing this position, located in Singapore
#27-20 UOB Plaza 2, 80 Raffles Place

Telephone: -