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Links Recruitment is a professional Executive Recruitment Consultancy connecting specialist talent with leading employers in the banking and financial services and commerce industry in Asia. Links Recruitment was formed in Hong Kong and has an established growing network of offices in Shanghai, Macau and Singapore.

Our client is one of the world's largest financial institutions offering full range of banking, investment, asset management and other financial and risk-management products and services.

The candidate is responsible for performing the review of the key supervision reports/tools, as well as participation in department projects/initiatives and providing strategic support to the team, in key areas of supervision and control.

Core supervision responsibilities:

·         Perform the review of daily, monthly compliance and control reports on a timely basis.

·         Work with the branch office management team (OMT) to ensure that these reviews are properly and timely completed. Highlight concerns and issues to the Centralised Business Review Unit (CBRU) and Branch Admin Managers, and Senior Management if appropriate. Highlight and work with the Branch Admin Manager on the investigation and resolution of issues identified.

·         Escalate issues and concerns to the CBRU and Branch Admin Managers, and Senior Management if appropriate.

·         Assist the OMT in the review of accounts in relation to client complaints, internal arbitration cases and compliance issues.

·         Identify best practices and reinforce sales supervision standards to maintain or uplift the compliance profile of the office.

·         Run/chair the regular meetings between CBRU and OMT.

·         Provide performance metric reports to the OMT and regional management.

Strategic and Leadership responsibilities:

·         Participate in CBRU risk management projects, including leading certain initiatives

·         Foster partnership between OMT and the CBRU to identify and manage issues and risks along with improving the efficiency and effectiveness of the supervisory and risk management process.

·         Provide advice, guidance, and support to junior staff.

Job Requirements:

·         A recognized degree with 3 to 5 years’ experience of compliance, supervision & control and audit

·         Solid relevant experience gained in banking and finance sector; preferably in private banking, investment banking and asset management

·         Experience of trade surveillance, review of compliance and control reports, etc.

·         Strong knowledge of wealth management products, including derivative and structured investments preferred

·         Familiar core wealth management rules and regulations (e.g. KYC, suitability)

·         Strong relationship skills including experience with dealing with senior management

·         Looking for a challenging growth role in the area of supervision and control.

If you are interested in this position please email your resume to puja.merchant@linksrecruitment.com and can refer to Job no: 14069