Business Risk & Controls Analyst (Post-Trade Surveillance) (Bank Sector Client - Private Banking)

Job Description
As a member of our client's 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.

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

Requirements
- Minimum 2 – 3 years experience in a Quality Assurance (QA) / controls testing or
surveillance function.

• Good knowledge of front office processes and internal controls within a private bank set-up
• Team player, partnering with other colleagues to achieve a common goal
• Proven ability to balance business needs and controls requirements
• Independent, able to work under pressure and deliver testing results
• Effective communication and analytical skills; and has demonstrated the ability to work

effectively with all levels within the organization

• Knowledge of Excel VBA is an advantage
  

Here’s what you’ll be doing (Recruiter's Explanation): Listening to recorded calls and reviewing emails of front-office staff to check for any non-compliance or risky behavior in how they deal with clients. If you spot any issues, you’ll propose corrective actions. Sometimes, the front-office staff might dispute your findings, and you’ll need to reassess and defend your evaluation professionally.

To do this well, you’ll need a good understanding of private banking products, such as: Unit Trusts, Structured Notes (e.g., Equity-Linked Notes, Credit-Linked Notes), Dual Currency Investments, Bonds, Equities, Accumulators / Decumulators, FX and FX derivatives, Discretionary Portfolio Management (DPM) services. It’s also helpful to have knowledge of the full trade lifecycle – from client order placement to execution, settlement, and post-trade checks. You’ll work closely with risk, compliance, audit, and operations teams to strengthen controls and support new regulatory requirements. Strong communication, attention to detail, and the ability to work independently are important in this role.