AD, Suitability COE, COO

JOB SUMMARY

Process & Change Delivery – Investment Suitability

As part of the Process & Change Delivery Team, this role focuses on suitability and the selling process including leading relevant change initiatives in the Private Banking business.  Your role will focus on maintaining a strong client focus while achieving an efficient and effective process that aligns with business objectives.  This role will work alongside the project leads to own and deliver the change management elements. This will include development of a change management strategy for the project, including communication and engagement plan, operational readiness planning and execution, and manages the impact of changes on Front Office and other stakeholders. Additionally, this role covers both HK and Singapore and one of your focuses is to align business processes across the two locations.  

Process Optimization: 

• Serve as the Subject Matter Expert (SME) for designated wealth product and the suitability process, driving continuous improvement and optimization
• Ensures systematic problem solving where options are evaluated and decisions align with the values.

Change Delivery: 

• Lead / support the launch and embedding of change projects that align with strategic objectives
• Develop comprehensive change implementation plans to ensure smooth transition and minimal disruption
• Engage stakeholder throughout the process to communicate changes effectively and gather feedback, ensuring all initiatives are executed on time and within scope
• Ensure compliance with external regulatory requirements, internal control standards and group compliance policy in the locations

Stakeholder Collaboration: 

• Act as a liaison between various cross-functional teams, facilitate open communication to gather requirements and address concerns.
• Key contact point for Product Owners on new product launches and enhancement of product offerings   
• Coordinate with project teams to align efforts and maintain momentum.
• Build strong relationships with business unit to ensure successful collaboration on process improvements.

Documentation & Communication

• Maintain comprehensive and up-to-date documentation of defined processes to support transparency and governance.
• Ensure that documentation is easily accessible to relevant stakeholders and complies with internal and external regulatory standards.
• Change engagement plan is delivered to a high standard, to support business rollout and embed through a clear communication and training programme.

Key Stakeholders

• Private Banking Regional Head, COO, Business Planning Management, Banking Operations, Wealth Operations, Wealth Management, Compliance, Legal, Relationship Managers, Client Service Manager, 2nd line and 3rd line support functions (e.g. Ops Risk, Fraud Risk, ICS Risk, Conduct Risk, Group Internal Audit)

Other Responsibilities

• Embed Here for good and Group’s brand and values in Hong Kong Private Banking; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Qualifications

• The successful candidate will be client and outcome-focused with a practical orientation to developing and maintaining an innovative mindset, and have a style that fosters teamwork and collaboration with all types of stakeholders and partners. Candidates should have excellent written and oral communication skills, strong interpersonal skills, great attention to detail, as well as a passion for improving experiences. 

Degree qualified, minimum 8 years of experience in the banking industry 

• Sound HKMA/SFC/MAS regulatory knowledge in investment suitability & selling process and understanding of the private banking business.
• Solid experience in Change Management; ability to adapt and act quickly to drive change by advocating innovative solutions 
• Self-motivated team player, excellent analytical and problem-solving skills, with the ability to articulate and resolve complex operational issues 
• Strong interpersonal and communication skills, with the ability to build and maintain relationships with internal key stakeholders 
• Excellent written and verbal communication skills in English and Chinese
• Proficiency in MS Excel, PowerPoint and Word is a must

Role Specific Technical Competencies

Manage Conduct

Manage Risk

Manage People

Products and Processes

Strategy and Business Model (SIF)