Senior Business Compliance and Operation Risks Manager (Private Banking)
Core
Act as first line of defense for Compliance and Operation Risk Manager, reviewing marketing/product materials for compliance risks, conducting trade surveillance and transaction monitoring, and managing regulatory reporting and audit coordination.
Role type
Senior Business Compliance and Operation Risks Manager (Private Banking)
Builds
Enhanced control frameworks and regulatory compliance for private banking products and processes
Domain
Banking / Private Banking / Operational Risk
Required skills
Operational risk management, trade surveillance, regulatory reporting, audit coordination, staff training, analytical skills, time management
Preferred skills
Private banking background, familiarity with private banking regulatory requirements
Technologies
N/A
Responsibilities
Review marketing and product materials for compliance risks; Conduct trade surveillance and daily report monitoring; Manage regulatory reporting and coordinate internal/external audits; Provide guidance and training to junior team members
Seniority
Senior, hands-on IC