AVP / VP – Sales Control & Support, Private Banking

24 hours ago

Kowloon, Hong Kong SAR China Bauer Kaiser & Co Limited Full time

Our client, a leading financial services firm is currently looking for an experienced Private Banking, Middle Office Manager / Snr Mgr. Reporting to the Head of PB Control & Support, the incumbent will manage the middle office controls of post trade sales suitability & monitoring. Details Key Focus Manage the controls in Middle Office post trade sales suitability monitoring, call monitoring and posting of retail transaction for Private Bank business. SupportPrivate BankingClient Advisors (CAs) in preparation electronic credit applications, credit documentation and mortgage loan application. Coordinate and collect the Initial Public Offers (IPO) for Private Banking clients. Responsibilities Post Trade Sales Suitability Monitoring to ensure commentary is received and actions are taken for unsuited trades as perinternal policy and regulatory requirements. Call monitoring and perform Cross Border Guideline controls, follow up rectification and make recommendations as appropriate Coordinate and collect the IPO applications, perform allocation and obtain approval for allocation for institutional tranche Support the preparation of Credit Applications for submission toPrivate BankingCredit Risk for approval : Obtain relevant information from CAs in preparation of electroniccredit applications Liaise with CAs to gather necessary information to Private Banking Credit Risk for credit assessment Follow through the credit approval process until electronic credit applicationis approved Prepare the credit documentation for client’s signatory Assist CAs to submit the Mortgage Loan application Check daily foreign exchange report and follow up any invalidated trades with responsible parties until rectification is complete Clear Desk Policy Review Liaise with relevant parties, e.g.Compliance, Operational Risk, Compliance, etc. in migrating new and streamlining existing processes to maximize productivity and efficiency in Private Banking Conduct and coordinate periodic business monitoring and activities. Escalate issues to Department Head. Follow up on exceptional / unreconciled items / SARs, etc until resolution Assist Department Head in ad hoc projects from time to time Qualifications & Skills University graduate Solid experience in banking operations and risk control and credit analyst, preferably in private banking business or wealth management Good communication, team player, interpersonal and leadership skills Ability to analyse situations, prioritise, implement processes, solve problem effectively and work independently Good command of writing and verbal English and Chinese Proficiency in MS Excel, PowerPoint and Word is a must Excellent remuneration package offered to the successful candidate #J-18808-Ljbffr

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