Business Control Analyst

Responsibilities

• Conduct post-trade business control activities, focusing on client and sales suitability (e.g., reviewing voice logs) and other operational checks within Wealth Management Operations.
• Demonstrate a solid understanding of sales suitability standards, including risk alignment, investment duration, client experience, rationale for investment, and concentration limits.
• Review and ensure timely distribution of customized client statements.
• Assess client trading suitability (e.g., product fit, risk alignment, concentration levels, DPM restrictions) and follow up on any missing trade documentation.
• Compile and prepare Management Information System (MIS) reports.

Qualifications

• Ideally have experience in Compliance, Risk & Control, particularly in monitoring client suitability.
• Strong knowledge of banking products such as FX, Money Market, Fund Transfers, Equities, Fixed Income, and Derivatives.
• Proficient in Microsoft Excel.
• Excellent communication and interpersonal skills.
• Self-driven, methodical, and detail-oriented with strong analytical capabilities.
• Able to perform effectively under pressure while maintaining high-quality output.
• Fluent in English, Cantonese, and Mandarin.