Internal Control Manager (M/F)

Job description

The position of Internal Control Manager supports the Private Banking Internal Control Team in Hong Kong in monitoring front-office sales processes and related activities. The focus is on effectively identifying risks, implementing controls, and ensuring compliance with regulatory and internal requirements.

Tasks

The main tasks include:

• Carrying out and monitoring FICD activities, including transaction monitoring, checking for conflicts of interest, transactions with third-party funds, monitoring fees and commissions, best execution, etc.
• Ensuring that the execution of controls meets the standards for timeliness, completeness, and accuracy, with proper documentation and improvements to control design and effectiveness
• Identification of control gaps and recommendations for improvements to control design and effectiveness
• Providing advice and guidance to the front office on control issues; escalating problems and implementing follow-up measures
• Collaboration with the Front Office Business and the Risk and Control Functions
• Work closely with the Internal Control Team in Singapore to create synergies and support initiatives to automate and optimize control processes
• Supporting the Head of Operational Risk Management and Quality Assurance, Asia, in strengthening the control framework and contributing to management reports and procedural updates
• Participation in HK CMA exams and internal/external audits, including the preparation of supporting documentation and responses to findings
• Carrying out ad hoc tasks/projects and providing timely reports on assigned work streams

Requirements

The requirements for candidates include:

• At least a bachelor's degree or equivalent qualification
• university degree
• 6–10 years of minimum experience
• 5–7 years of relevant experience in risk control/compliance testing in the financial services sector
• Extensive knowledge of private banking sales processes, FIC activities, and relevant regulatory requirements
• Proactive, independent judgment; strong analytical and problem-solving skills
• Excellent writing and documentation skills for audit files and reports
• Strong team player with good communication skills
• Proficient in MS Word, Excel, and PowerPoint
• Fluent in English, Cantonese, and Mandarin (spoken and written)

We offer

No information available.