Business Risk Specialist

Business Risk Specialist role to perform control reviews for investment suitability

Your new company

The company is a leading global financial service firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employee serve clients worldwide including corporations, governments, and individual from more than 1,200 offices in 43 countries.

Your new role

We are looking for a high calibre 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, and at least 2–3 years' experience working in the Banking Industry, preferably in wealth management sector with investment suitability knowledge
  • Proficiency in Cantonese, besides English and Mandarin as the candidate is required to communicate well with Front Line Staffs based in Hong Kong office as well to perform tape listening
  • Good knowledge of wealth management financial products and services (FX/Derivatives/Dual Currency/mutual fund/bonds/equity

What you'll get in return

  • Be part of a Top-Tier Bank in Hong Kong
  • Career development and top-notch employee opportunity
  • Work with a team that shares a common set of values rooted in integrity, excellence and strong team ethic.

What you need to do now

If you are interested in this role, click 'apply now' or forward your latest resume to

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 at +603 7611 8666.



Job Type
Banking & Financial Services
Banking and Financial Services

Talk to a consultant

Talk to Kalpana Charles, the specialist consultant managing this position, located in Hong Kong
6604-06,66/F, ICC, 1 Austin Road West, West Kowloon

Telephone: -

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