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International Private Bank - Supervisory Management (Controls) - Vice President
senior · Risk & Compliance
Help protect clients and the firm by strengthening front-office supervision across cross-asset trading desks in Global Wealth Management Asia. In this role, you will provide day-to-day oversight, review key communications, and partner closely with Risk, Controls, Compliance, and Legal to ensure adherence to regulatory requirements and internal policies.
Job summary
The Trading Supervisory Manager (“Trading SM”) supervises front office Sales and Solutions activity and provides sales supervision and risk review for Solutions across asset classes within assigned Asia regional teams. The role oversees wealth management cross-asset trading desk business operations, including monitoring daily activity, identifying risk/control gaps, and supporting issue resolution. The Trading SM also reviews marketing and business communications (including Traditional and Simplified Chinese) to ensure alignment with applicable regulations and firm policies. This role partners closely with Risk, Controls, Compliance, and Legal and supports internal/external audit requests through strong documentation and process adherence.
Job responsibilities
- Review marketing and business communications (Traditional and Simplified Chinese) to ensure adherence to regulatory requirements and firm policies
- Coordinate projects related to business communications by partnering with business and Marketing teams
- Support ad-hoc reviews for items such as marketing decks, quarterly earnings announcements, and key market policy events (e.g., central bank meetings)
- Leverage AI-enabled tools to support marketing review processes and propose improvements to review efficiency and controls
- Maintain awareness of evolving regulatory changes and market developments impacting the private bank/wealth management business
- Represent management during audits and examinations by demonstrating adherence to policies/procedures and providing required documentation
- Provide sales supervision and risk review for Solutions across asset classes for assigned Asia regional teams
- Oversee day-to-day trading desk business operations and support effective coordination with front office stakeholders
- Conduct daily monitoring of trading activity and business processes to identify potential risk areas and control gaps
- Review and approve daily trade activity blotters for regional teams
- Resolve trade errors by identifying circumstances, taking required market action, completing error reporting, and assigning responsibility as appropriate
Required qualifications, capabilities, and skills
- 8+ years of controls-related experience within the financial services industry
- Proficiency in English and Chinese, including Traditional and Simplified Chinese
- University degree (or equivalent)
- Strong understanding of wealth management business activities, process flows, and related regulatory/control requirements
- Demonstrated ability to work independently while operating effectively as part of a global team
- Strong risk mindset with ability to identify control gaps and recommend practical remediation actions
- Strong problem-solving skills and ability to take initiative to drive issues to resolution
- High attention to detail, sound judgment, and ability to meet tight deadlines under pressure
- Strong communication skills with ability to partner across front office and control functions
- Experience overseeing daily trade activity monitoring, supervision, or review activities
- Experience supporting audit/exam requests through strong documentation and evidence management
Preferred qualifications, capabilities, and skills
- Experience reviewing marketing materials and related business communications
- Prior experience in comparable roles in Compliance, Surveillance, Risk/Operational Risk Management, or Audit
- Familiarity with cross-asset products and trading desk operating models within wealth management
- Experience improving supervision, controls, or review processes through technology and/or automation initiatives
- Strong interest in investing, financial products, and financial market developments
- Experience coordinating with Legal and Compliance on product/team-related issues and escalations
- Experience supporting strategic business initiatives and change programs within a front-office supervision context