Category
Industry
Salary Range
- Global Private Bank
- Director in Charge of KYC/AML Team
- Worklife Balance! Competitive Offer & Sign-On Bonus
- Report to HK Branch Head of Compliance
- Team head in charge of supervising a team of 5-6 KYC specialists
- Oversight KYC/CDD to ensure the fulfilment of HKMA regulatory requirements related to AML, CFT, sanctions and other financial crimes. Timely review of KYC/AML control and related procedures to conducting gap analysis with any regulatory/governance changes
- In-House Paralegal Opportunity w/Global Bank
- North Asia Commercial Litigation & Investigation
- Expansion Headcount & Good Learning Opportunity
- Report to Litgation Lawyer and faciliate commercial litigation, investigation and complaint cases
- Accountable for conducting legal resarch and consolidation of related document
- Assist in investigation process that called for extensive liaison with internal stakeholders from front to back office and external counsels
- Support general advisory matters related to account opening, data access and any regulatory related aspects
- HKMA Regulatory Compliance & Monitoring
- Promising Growth & Comprehensive Bank Benefits
- Supportive and friendly working environment
- Manage regulatory related investigation, self-assessments and on-site examination
- Oversight staff licensing & related enquiries from regulators
- Support regulatory advisory, general compliance and related enquiries that called for extensive liaison with Senior Management, line managers across FTB Offices and Headquarter
- Regional Compliance with Global Asset Manager
- Regulatory, Central and Investment Compliance
- Regional Exposure & Competitive Package
- Report to the Regional Compliance Manager
- Accountable for reviewing sales and marketing materials
- Responsible for SFC licensing application, staff dealing and CPT hours
- Top Ranking Pure Play Swiss Based Private Bank
- North Asia KYC/SOW and Compliance Function
- Promising Career & Comprehensive Bank Benefits
- Perform client due diligence review on account opening documents and source of wealth (SOW)
- Accountable for KYC for new/periodic clients including low to high risk
- Ensure all account opening documents are complied with Bank policy and HKMA regulations
- KYC/CDD/AML for New & Periodic Review
- Expansion Asia Pacific Regional Hire
- International Institutional Culture
- As part of the Regional KYC/CDD team
- Accountable for managing new and periodic CDD/KYC assessment for low to high risk institutional and intermediaries’ clients
- Conduct PEP, sanctions, adverse news and STR review, etc.
- Team Head of Auditor (SVP) for North Asia Branch
- Oversight Audit, Risk & Regulatory Compliance
- Rewarding Career & Promising Prospects
- Perform assessments of private banking business and processes to help formulating risk-based annual audit plan
- Independently plan and execute business and operational audits in accordance to defined audit methodology and standards
- Prepare audit findings and reports with sound recommendations to improve the design and effectiveness of internal controls across front to back offices
- Global Industry Leader in Private Banking
- In-House Legal Advisory & Drafting
- Rewarding Career Path & Worklife Balance
- Report to the North Asia Regional Head of Legal Counsel
- Provide corporate & legal advisory to issues related to licensing; investment product distribution/authorization, account opening and related issues in accordance to banking/SFC ordinance
- Responsible for drafting & reviewing commercial agreements and contracts by working in close partnership with senior management, business/product team & external lawyers
- In-House Technical Risk and IT Security
- Expansion Regional Hire with Rewarding Career
- Friendly Int’l Platform with Worklife Balance
- Assume 1st line or 2nd line of technical risk assessments from driving risk mitigation, tracking and reporting
- Ensure compliance of HKMA / SFC regulatory requirements and Corporate Governance
- Identify technical risk and implement control measures by collaborating with group & regional stakeholders across IT, security, risk, audit and compliance departments
- Top Ranking European Based Private Bank
- Regulatory Compliance & Risk Assessment
- Promising Growth & Comprehensive Bank Benefits
- Report to Regulatory Head of Compliance & partner with a team of 5
- Facilitate HKMA and SFC investigation, self-assessments and on-site examination
- Manage complaint handling cases and regulatory reporting
- Regional Corporate Bank & HKMA regulated
- Biz, General & Regulatory Compliance Advisory
- Small Team & Work-life Balance
- Manager in charge of Compliance
- Provide business and regulatory compliance advisory by assuming in-house consultation to senior management & operations from FTB office
- Ensure fulfilment of regulatory requirements and corporate governance through collaborating with HQ and internal auditors
- Global Industry Leader in Private Banking
- In-House Legal Advisory & Drafting
- Rewarding Career Path & Worklife Balance
- Report to the North Asia Regional Head of Legal Counsel
- Accountable for providing legal advisory and drafting/vetting of contracts to ensure the fulfilment of HKMA requirements
- Responsible for the negotiation/review of investment product & distribution agreements by working in close partnership with business/product team & external lawyers
- Hong Kong Greater China Based Private Equity Co
- Legal & Compliance advisory with FO/Deal Expo
- Small Team & Work-life Balance
- Report to CEO
- Accountable for providing portfolio/transaction and deal related legal documentation review by working closely with investment team
- Responsible for corporate/fund structure and LP/GP advisory
- Expansion KYC/EDD/Approval Headcounts
- Friendly Int’l Corp & Institutional Platform
- Hybrid Work Mode & Balanced Worklife
As part of Regional KYC and EDD team under COO Office, the job holder will be responsible for:
- Accountable for client on-boarding for low to high risk corporate & institutional clients
- Conduct KYC/PEP and comprehensive CDD/EDD assessment in accordance regulatory/corporate governance
- Bridge between front office and compliance to tackle & AML/FCC related issues
- Most Admired Global Private Banking Franchises
- Friendly Int’l Platform with Worklife Balance
- Group Risk Mgmt including OR, Regulatory & IT
- As part of 2nd line of defense to conduct periodic review & formulate effective control in accordance to regulatory requirements & corporate governance
- Conduct gap analysis; formulate control process/policies and KRI indicators by working in close partnership with compliance/audit teams & 1st line of BR
- Accountable for driving thematic reviews in particular with issues related to IT risk, cyber security, PDPO, outsourcing and BCP etc.