Assistant Manager, Call Monitoring
BRS Limited
Hong Kong

Other Key Relationship

  • Our client, a well-known Private Bank, is looking for high-calibre individuals to join them for the above position.
  • Job Description

  • Perform controls over front office activities to ensure advisory services / selling process are conducted in compliance with Bank's policy and regulatory requirements
  • Facilitate communication between front office and the team
  • Perform suitability review of client*s applications for Equity IPO, Private Equity.
  • Perform call monitoring on investment process and other thematic reviews to ensure regulatory and internal requirements are complied.
  • Produce reports and statistics to other departments such as Operational Risk, Compliance, Management etc.
  • Assist with updating team's DOI and other procedures, such as deviation code and checklists, in line with bank and external policy and procedure changes.
  • Coordinate and collect applications on Equity IPO, Private Equity and Fixed Income New Issue, perform allocation and obtain approval for allocation for institutional tranche.
  • Assist in ad hoc projects from time to time.
  • Requirements

  • University graduate
  • At least 3 year of solid experience in banking operations and risk control, preferably in private banking business or wealth management
  • Detail minded, mature, tactful, independent, initiative and well organized
  • Strong control sense, able to identify potential risk and provide valid recommendations
  • Excellent communication and interpersonal skills
  • Ability to analyze situations, prioritize, implement processes, solve problem effectively and work independently
  • Good command of written and verbal English and Chinese
  • Proficiency in MS Excel, PowerPoint and Word is a must
  • Interested parties please forward your CV in Word Format with current and expected salary to and cc to
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