Senior Manager, Wealth Management Risk & Control

Responsibilities Pre-trade & Post-trade Control: Oversee pre-trade controls and post-trade monitoring to ensure adherence to internal policies and regulatory standards. Trade Surveillance: Lead the trade surveillance function for HK/US stocks and cryptocurrencies to identify market misconduct. This includes managing system/project-related work, day-to-day monitoring, escalating and discussing suspicious cases with 2LoD, and filing cases to regulators (HKMA and SFC). Governance: Host and lead governance committee meetings to discuss compliance issues, risk management, and operational efficiencies. Audit & Compliance Reviews: Act as the primary contact for compliance and audit reviews; actively track, manage, and ensure the timely completion of all follow-up action items. Regulatory Gap Analysis: Conduct gap analysis for new regulatory requirements related to the wealth management business and propose necessary changes to policies and procedures. Requirements Bachelor’s degree in Finance, Business Administration, or a related field. Minimum of 10 years of experience in governance, risk management, trade surveillance or business control within the financial services industry. Proven experience in leading and managing a team. Proven track record of implementing effective business control measures and ensuring compliance. Strong understanding of regulatory requirements, industry best practices, and risk management practices in wealth management. Excellent written and verbal communication skills. Business proficiency in English, Cantonese, and Mandarin is required. Ability to thrive in a fast-paced environment with a strong focus on results.