Business Risk & Controls Analyst - Investment Suitability Controls | Private Banking

- Investment suitability QA controls testing focus As a member of Private Bank Business Risk & Control Management (BRCM) team, you will play an important role in exercising risk oversight over front office activities through quality assurance checks across Anti-Fraud and Suitability.

Specifically, this role will focus on conducting quality assurance through regular/thematic testing and ongoing post transaction reviews. You may be required to drive risk and control initiatives across Private Bank to implement new regulatory requirements or controls enhancement.

This role entails: Post trade surveillance (tape listening, email surveillance) for client accounts. Develop subject matter expertise on investment products and related regulatory requirements and Front office controls (e. g. Investment Suitability / Anti-Fraud).

Identify root causes and propose corrective actions to regularise process related exceptions. Interact with Front Office staff to provide testing results, analyse disputes and conduct reassessments whenever necessary. Participates in discussions with business and risk partners on risk/process issues (e. g.

Compliance, COO functions, Internal/External Audit). Recommends and implements enhancements to improve effectiveness and efficiency of Controls Framework and related processes.

Provide sound and pragmatic risk advisory to Front Office and support function for initiatives/activities and project Client-Provided Requirements Preference for 2 – 3 years experience in Sales Ops Quality Assurance (QA) / controls testing or surveillance function.

The candidate will spend most of their time on anti-fraud controls, such as post-trade surveillance, tape listening, email surveillance, identifying suspicious activity, reviewing exceptions, and supporting fraud-related risk reviews.

Open To candidates with Prior experience in adjacent functions, such as banking compliance, AML transaction monitoring, or KYC The candidate must have strong reporting &