Category
Industry
Salary Range
- Promising Career Development Prospects
- Private Banking ARM Supervisory & Business Management
- Healthy Work Life & Excellent Bank Benefit
Mission: Crucial dual role as an operational supervisory lead and a trusted partner to Senior Private Bankers (Relationship Managers). This position oversees a pool of Assistant Relationship Managers (ARMs) responsible for HNW and UHNW client accounts.
- Accountable for hiring, mentoring, resource planning, performance evaluation of a team of ARMs/Client Service specialists in addition to ensuring the seamless client onboarding and trade execution, robust regulatory compliance, and high standards of service excellence while optimizing workflow efficiency across the team
- Direct first-line control. Ensure full compliance with AML/KYC standards, account onboarding requirements, product suitability checks, and cross-border regulatory rules
- Drive operational efficiency by collaborating with IT, Operations, and Product teams to streamline client workflows and support audit readiness
- AML/Transaction Monitoring exp with Private Banks
- Supportive FCC Compliance Culture
- Healthy Worklife Balance
- As part of the established FCC Compliance Department for North Asia region
- Accountable for conducting transaction monitoring, alert clearance and approval in accordance to HKMA/AML regulatory requirement and corporate governance
- Serve as the subject matter expert to tackle any related transaction surveillance issues from front office, operations and risk management teams
Attraction:
- Leadership Role: AML/KYC/Biz Risk, Private Bank
- Rewarding Front Office Management Exposure
- Job Security, Int’l Professional Culture
Tasked with the mission:
Managing a team of 6, you will oversee client lifecycle activities (onboarding, periodic reviews, trigger events) as well as front-office risk controls (investor suitability, sales conduct, and product governance).
Core Responsibilities
- Team Leadership: 1st Line control environment for the HKMA and SFC regulated private wealth arm.
- Advisory & Governance: Key liaison point with front-office teams on AML and general compliance matters. Represent the unit in regional and global governance committees.
- Risk Frameworks: Design and refine risk management practices covering both financial crime, KYC/Client On-Boarding, regulatory risks aspects to ensure daily business activities fulfil regulatory requirement.
Highly-visible Front Office Advisory Opportunity
Healthy Work-life & Friendly Int’l Private Banks
SOW/CDD/AML, Biz Risk and Mgmt
Why Choose This Opportunity?
Core Advisory Mandate: As part of the Front Office 1.5LOD , partnering with ~10 private bankers & senior management of ED/MD levels; directly advising business from client on-boarding, CDD, business risk, daily licensed activities, resolving any incidents/ approving any exceptions
Pure-Play Focus: Deliver impact within an institution exclusively dedicated to continuous growth and long term direction of the Greater China Wealth Management Business
End-to-End Oversight: Shape front-to-back risk controls—covering everything from client onboarding and financial crime prevention to trade suitability and regional cross-border rules.
Primary Accountabilities:
- First-Line Oversight: Drive robust supervisory standards across front-office activities, keeping day-to-day business aligned with internal governance and regulatory expectations.
- Front-Line Advisory: Serve as the first point of contact for private bankers on business/account pipeline review, operational, policy, and compliance matters (e.g., AML/KYC/SOW adjustments, product suitability, and cross-border engagement).
- Process Refinement: Work hand-in-hand with relationship managers, legal counsel, compliance leads, and operational teams to streamline business flows while maintaining strict risk boundaries.
- Solid AML/KYC/SOW experience with Private Banks
- Friendly & Supportive International Culture
- Healthy Worklife with Excellent Exposure
- Responsible for KYC and Client Due Diligence for low to high risk HNW Private Clients
- Conduct PEP, Sanctions and AML review to ensure compliance with HKMA regulatory requirement and corporate governance
- Serve as the subject matter expert to advise and review KYC/Client Life Cycle requirements for the Front Office
- Business & Regulatory Risk Management
- Drive Regional Surveillance Projects
- Healthy Work life Balance & Job Security
- Report to the North Asia Head of Business Risk
- Accountable for conducting regulatory & thematic business risk assessment including product suitability, cross border, pricing, selling process, transaction review by collaborating with the front office, investment, compliance and audit teams across the region
- Responsible for voice log review and transaction monitoring to ensure the fulfilment of HKMA/SFC regulatory requirements
- Reputable Global Private Banks
- Internal Surveillance & Regional Project
- Good Benefits & Worklife Balance
- Tasked with the mission to protect the bank from internal fraud and critical data breaches
- Accountable for monitoring the email communications and attachments
- Facilitate related investigation by working closely with internal/external stakeholders across compliance and audit teams
- Solid AML/KYC/SOW experience with Private Banks
- Friendly & Supportive International Corporate Culture
- Excellent Job Security & Competitive Package
- Responsible for KYC and Client Due Diligence for low to high risk HNW Private Clients
- Source of Wealth assessment and review for new clients, ensuring the compliance with HKMA/AML regulatory requirement and corporate governance
- Serve as the subject matter expert to advise and review KYC/Client Life Cycle requirements for the Front Office
- Global Top Tier Law firms
- Legal Mgrs with 3-5 yrs PEQ
- IPOs & capital mkts transactions
- Provide legal guidance on IPO and capital markets transactions.
- Collaborate with diverse internal/external stakeholders to ensure compliance and perfection in legal documentation.
- Draft, review, and negotiate crucial legal agreements related to corporate finance.
- Most Admired Regional Private Banking Franchises
- 2nd LOD Risk Mgmt, Regulatory & Governance Control
- Group Risk Mgmt including OR, Regulatory & IT
- Assume ORM lead within the Risk Management Division for the HK Branch
- As part of 2nd LOD to conduct thematic/periodic review & formulate effective control in accordance to HKMA and MAS regulatory requirements & corporate governance
- Accountable for overseeing and enhancing risk management strategies by collaborating with Line of Business, BR, Compliance, Audit, Technology and Operations teams
- Multiple Expansion Headcounts with Int’l Private Banks
- COB/CDD/SOW Review in accordance to HKMA/MAS
- Excellent Job Security & Comprehensive Bank Benefits
- Conduct comprehensive KYC and client onboarding for high net worth clients, from low to high risk
- Perform source of wealth (SOW) review, client account profiles analysis and facilitate clearance of adverse findings
- Ensure adherence to corporate governance and HKMA/MAS AML regulatory requirements
- Business & Regulatory Risk Management
- Regional 1.5 Line of Defense Global Private Bank
- Good Hours and Excellent Job Security
- Report to the North Asia Head of Business Risk
- Accountable for conducting regulatory & thematic business risk assessment including product suitability, cross border, pricing, selling process, transaction review by collaborating with the front office, investment, compliance and audit teams across the region
- Gatekeeper to ensure fulfilment of HKMA/SFC regulatory requirements
- Responsible Officer and MIC for APAC Hub
- Global Private Credit/Debt Investment Manager
- Promising and Rewarding Career
- Assume one of the senior roles and founding members for the Asia Hub in HK
- Being the Responsible Officer/ Manager in charge accountable for the overall management oversight
- Oversight the investment team and ensure trade orders are executed in an accurate, timely and effective manner
- Expansion Transaction Monitoring Headcounts
- Friendly Int’l Corp & Institutional Platform
- Hybrid Work mode & Balanced Worklife
As part of Regional Transaction monitoring team, the job holder will be responsible for:
- Transaction monitoring & STR control
- Investigation of trigger events/alerts to ensure the fulfilment of regulatory / corporate governance
- Periodic clients account monitoring and name/background screening
- Global Industry Leaders, Legal & Mgmt Consultancy
- Simplified Chinese & English Pitches and RFP
- Regional Expansion Headcounts
- As part of the Regional Business Development Department
- Accountable for timely production of English & Chinese RFP and preparation of clients’ pitch/proposals and marketing collaterals
- Work closely with professional staff across capital markets, banking, corporate and various IP practices