Position Purpose:
- Rationalize our WM APAC Control Plan execution setup
- Streamline the execution of existing controls, leveraging deployment of new systems
- Improve the cost-to-serve of the Perm Controls platform
Direct Responsibilities
- Perform Key Surveillance Points (KSP controls) for Wealth Management covering Hong Kong & Singapore & Taiwan booking sites, following the control guidelines and methodologies provided by the Group / Head Office / Regional OPC management.
- Provide subject matter expertise on specified KSP themes and contribute to the management and maintenance of Control Methodology documentations, Coversheets, and other internal
guidelines/documents.
- Collate raw data & information and gather relevant information from internal stakeholders to perform the preparatory works (i.e. data analysis, sampling selection, test steps conduct the tests and data analysis to assess the adequacy and effectiveness of the system of the internal controls.
- When performing KSP controls, assess the quality of the internal processes and procedures in relation to the subject matter covered by the KSPs, adopting a risk-based approach. Ensure the consistency and compliance of operational activities falling under the scope of the KSPs.
- Analysis work will involve making reference to internal policies, information from various internal sources (including IT systems), previously detected cases / escalated alerts. For cases requiring further clarification, the team is required to communicate with the relevant internal stakeholders to obtain previsions or justifications.
- In case of detection of breaches with internal processes and procedures, investigate the root cause of the deviation and propose relevant remediation actions, in collaboration with the internal stakeholder involved as well as the Domain Lead.
- Ensure proper and detailed documentation of the control preparation (including sampling), execution and results.
- Provide regular reporting to the Domain Lead, the Head of Permanent Controls WM APAC, the Head of Conduct & Control WM APAC and the management of WM APAC on the overall level of risk
and outcome of KSP controls.
- WM product & process knowledge is preferred
- Effective communication skill
- English proficiency
Primary Location
TW-TPE-Taipei
Job Type
Standard / Permanent
Job
RISK
Education Level
Bachelor Degree or equivalent ( = 3 years)
Experience Level
At least 3 years
