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SA/AVP, Specialist, Sales Surveillance, Private Banking

DBS Bank (Hong Kong) Limited
Hong Kong, Hong Kong
Closing date
Oct 13, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Business Function

DBS' Private Banking offers a one-stop, full-service touch-point for total banking requirements and provides the highest level of personalised banking. We have a team of dedicated, experienced investment advisors who identify opportunities in the various asset classes and employ the best strategies and product vehicles to cater to each client's needs. Coupled with partnerships within the DBS network and with global institutions, we strive to build long-term relationships with our Private Banking clients in Asia by providing them with high quality, timely and extensive wealth management, investment and financial solutions.

  • Conduct surveillance on sales activities, including pre-trade, post-trade and on-going monitoring of the investment sales process to access the quality of sales activities and adherence to proper standards and procedures
  • Conduct checking on periodic portfolio review and ad hoc P&L quarterly review
  • Perform close supervision reviews and other ad hoc reviews as needed
  • Work closely with the Front Office and Management on control related matters to ensure corporate standards and regulatory requirements are met
  • Access and identify internal control weaknesses to implement necessary rectifications or changes in control procedures.
  • Liaise with various control and support units on the review, update and implementation of policies, procedures and control measures to ensure compliance with regulatory requirements
  • Support Speech Analytics on-going maintenance and development
  • Conduct regular sales process trainings to sales staff and new joiners
  • Prepare management reports and presentations on sales process quality on a regular basis
  • Take part in ad hoc projects to provide input from a control perspective on building the business and operational process
  • Supervise the implementation of business and control process improvements within the team and business unit
  • Other duties and responsibilities as assigned by supervising manager

  • Degree holder preferably in Business, Finance, Accounting, Economics or related disciplines
  • At least 4 years of relevant work experience in the financial industry. Preferably with field experience of risk management, internal audit or compliance.
  • For candidates with less experience, may consider for junior role
  • Good understanding of relevant HKMA and SFC rules, regulations, practices and guidelines is preferred.
  • Good knowledge of private banking products
  • Possess good interpersonal and communication skills
  • Self-motivated, enthusiastic, organized and ability to multi-task
  • Able to work independently and part of a team
  • Meticulous with good analytical skills
  • Proficiency in MS Office Word, Excel and PowerPoint.
  • Fluent in Cantonese, English and Mandarin

Apply Now
We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
We regret only shortlisted candidates will be notified.

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