Senior Manager, Wealth Management Risk & Control

Responsibilities 

• Pre-trade & Post-trade Control: Oversee pre-trade controls and post-trade monitoring to ensure adherence to internal policies and regulatory standards. 
• Trade Surveillance: Lead the trade surveillance function for HK/US stocks and cryptocurrencies to identify market misconduct. This includes managing system/project-related work, day-to-day monitoring, escalating and discussing suspicious cases with 2LoD, and filing cases to regulators (HKMA and SFC). 
• Governance: Host and lead governance committee meetings to discuss compliance issues, risk management, and operational efficiencies. 
• Audit & Compliance Reviews: Act as the primary contact for compliance and audit reviews; actively track, manage, and ensure the timely completion of all follow-up action items. 
• Regulatory Gap Analysis: Conduct gap analysis for new regulatory requirements related to the wealth management business and propose necessary changes to policies and procedures. 

Requirements 

• Bachelor’s degree in Finance, Business Administration, or a related field. 
• Minimum of 10 years of experience in governance, risk management, trade surveillance or business control within the financial services industry. 
• Proven experience in leading and managing a team. 
• Proven track record of implementing effective business control measures and ensuring compliance. 
• Strong understanding of regulatory requirements, industry best practices, and risk management practices in wealth management. 
• Excellent written and verbal communication skills. 
• Business proficiency in English, Cantonese, and Mandarin is required. 
• Ability to thrive in a fast-paced environment with a strong focus on results.