Control Execution and Supervisory Specialist

Job Description

Do you have a compliance, controls, investigations and/or audit background with solid experience in the wealth management industry Are you able to assist the Front Line Origination Units on matters/queries related to AML, KYC, SOW and SOW Corroboration. Are you familiar with SEBI and RBI requirements in areas of investment suitability and AML KYC Are you able to evaluate, interpret and challenge complex information carefully Are you trustworthy in maintaining high business standards, while driving the business forward Do you know how to organize and prioritize your work to meet key deadlines Are you able to challenge colleagues in a constructive way Are you a self-starter within initiative, able to own and drive complex projects, while keeping management informed of regular progress We are looking for a high caliber individual with these qualities to be part of our Global Wealth Management (GWM) Front Line Support in Airoli, Mumbai. You ll be working in Front Line Support (FLS) Function, a 1st Line of Defense, locally reporting into the GWM APAC Business Risk Organization (BRO) Function. FLS is responsible for executing ex-post controls as part of GWM Control Framework. We execute regular controls and perform regular analysis over the controls and share the outcome with relevant stakeholders as appropriate. In addition, we provide regular advice and/or training to the Business to help enhance the overall quality and process adherence in the 1st Line of Defense. - Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal, and at least 2 years experience working in wealth management sector - Good knowledge in investment products (FX, Derivatives, Bonds, Structures, Equities) and HKMA requirement in areas of Investment Suitability - Clear communicator, with exceptional interpersonal skills and a good listening skill - creative approach to problem solving & challenging existing processes to drive improvements - Proactive, independent, client-Oriented and well-organized Individual with critical thinking skills - proficient in basic Microsoft applications