Client Analyst – FLDS - 12-month contract Client Analyst – FLDS - 12-month contract …

Allegis Global Solutions
in Hong Kong
Contract, Full time
Last application, 03 Mar 21
Competitive
Allegis Global Solutions
in Hong Kong
Contract, Full time
Last application, 03 Mar 21
Competitive
Posted by:
Jackie Lao • Recruiter
Posted by:
Jackie Lao
Recruiter
Allegis Global Solutions is the exclusive Contingent HR services provider for one of the world’s leading banks.

At Allegis Global Solutions we’re proud to be the leader in global talent solutions. We draw upon decades of industry expertise to develop innovative tools, products, processes and strategies focused on outcome. Moreover, we’re incredibly proud to have built a culture that empowers our people to make their mark while making deep connections that will last a lifetime. With our passion and culture for talent, we are truly transforming the way the world acquires talent.

Our Client is one of the leading global wealth managers with strong investment banking and asset management capabilities. Founded in 1856, they have expanded to be a global force employing over 45,000 people in 50 countries. With new leadership, a new strategy and a streamlined global organization, they are set for growth.

As part of the continued efforts to create the leading Private Bank in Asia Pacific, a regional structure with front-to-back alignment has been established to leverage and coordinate key resources and priorities. The Control and Review team will act to strengthen the control framework as well as to ensure compliance of all Hong Kong booking platform operational activities with the respective local regulations and regulators

Key Responsibilities

  • First Line of Defense Support (FLDS) Control and Monitoring team will act to strengthen the control framework as well as to ensure compliance of all Hong Kong booking platform operational activities with the respective local regulations and regulator.
  • Maintain an effective control environment and execute and document operational and - where applicable – supervisory controls according to PB Division standards; ensure proper follow-ups to performed controls, where required.
  • Ensure adherence to local and global standards related to the Advisory Process and the Investment Suitability (IS) Framework, in particular:
    • Proper documentation of IS requirements
    • Comprehensive IS profiles for all clients
    • Pre-Trade Disclosures as applicable
    • Treatment of volatility and concentration risk
    • Monitoring of risk consumptions versus budge

Essentials Skills and Qualifications

  • 1-2 years Private Banking experience
  • Investment suitability, regulatory compliance, or internal audit experience preferred
  • Fluent in written and spoken English, Cantonese, and Mandarin.
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