Location: Central and Western, Hong Kong Island, Hong Kong

Be part of the International private bank (IPB) Market Supervisory Management team in Hong Kong, supporting Wealth Management activities through strong supervision and proactive risk management. Youll help safeguard clients and the business by providing oversight across investment activity, suitability, and key controls.

 

As an Associate  in the International private bank(IPB)  market supervisory  management team you will provide first-level control and oversight of the investment business, with a focus on pre-execution trading review, client suitability assessments, and concentration risk monitoring. You will escalate issues as needed, partner closely with front office stakeholders, and support change management tied to investment-related policies, procedures, and frameworks. The work is central to maintaining strong risk and control standards while supporting a high-quality client experience.

Job responsibilities:

• Review and assess client trading activity and potential suitability concerns on a pre-execution basis.
• Escalate issues to senior management across the 1st, 2nd, and 3rd lines of defence.
• Provide first-level control and oversight of the investment business.
• Independently review client suitability profiles using data collected from clients and the front office.
• Review and assess investment concentration issues in client accounts.
• Review client-facing materials to ensure alignment to clients objectives and needs.
• Manage potential client situations (e.g., trading errors or client issues) and drive appropriate follow-up.
• Attend front office meetings to provide feedback and remain current on priorities.
• Support change management for investment-related policy/procedure/process updates (e.g., enhanced suitability framework, new trading protocols, training).
• Coordinate and liaise for audits as required.
• Produce operational risk reporting and support investigations as needed.

 

Required qualifications, capabilities, and skills:

• Minimum 5 years  in a financial institution in first line oversight/controls, supervisory risk & control, or related functions.
• Bachelors degree in business, finance, or a related field.
• Self-motivated, enthusiastic, and keen interest in risk and control frameworks and the regulatory landscape.
• Excellent organizational skills and strong attention to detail, with the ability to manage multiple workstreams to tight deadlines and reprioritize.
• Think like an owner mindset and ability to handle issues independently.
• Strong interest in, and sound understanding of, financial markets, products, and wealth management.
• Proven monitoring experience gained within financial institutions.
• Strong communication and negotiation skills across varying levels

 

Lead market supervision for Wealth Management, delivering proactive risk oversight and robust support to the Market Supervisory Management team.