Compliance Officer

Responsibilities

• Conduct post-trade checks on client and sales suitability, including voice log reviews and other operational controls within WM Operations.
• Apply strong knowledge of suitability standards covering risk, tenor, experience mismatches, rationale, and concentration limits.
• Review and ensure timely dispatch of customized client statements.
• Verify trade suitability (e.g., product fit, risk alignment, concentration, DPM restrictions) and follow up on missing documentation.
• Compile and deliver accurate MIS reports.

Qualifications

• Experience in Compliance or Risk Control, ideally with client suitability monitoring.
• Familiarity with banking products such as FX, Money Market, Funds, Equities, Fixed Income, and Derivatives.
• Advanced Excel proficiency.
• Strong communication and interpersonal skills.
• Highly organized, detail-oriented, and analytically driven.
• Ability to perform under pressure while maintaining quality standards.
• Fluent in English, Cantonese, and Mandarin.