Category
Industry
Salary Range
- Top Ranking Pure Play Swiss Based Private Bank
- Lead Regulatory, Product & Surveillance Functions
- Promising Growth & Comprehensive Bank Benefits
- Report to North Asia Head of Compliance and act as the team lead function by supervising 2-3 subordinates for regulatory, product and surveillance functions
- Key person for the HKMA and SFC on regulatory matters re regulatory notifications, self-assessments, on-site examination, complaints handling and regulatory enquires
- Assume in-house regulatory advisory, general compliance and surveillance functions to Snr Mgmt, line managers across FTB Offices in AP and HQ
- Strategic Asia Head of Derivatives/Equity Lawyer
- Oversight Global Markets Business & Expansion
- Worklife Balance & Competitive Bank Benefits
- Tasked with the mission to provide comprehensive legal advice and transaction management for Global Markets business in Asia
- As part of the regional senior management to drive strategic expansion of global markets business and distribution of structured/DCM transactions across AP region with the collaborated effort with HQ
- Take charge of review and negotiation derivatives, structured notes and debt capital markets transactions that called for extensive liaison with clients, external lawyers and regulators
- Top Ranking Swiss Based Private Banks
- Regional AML Advisory & KYC/CDD Approval
- Excellent Working Hours & Competitive Benefits
- Report to Regional Head of AML/KYC
- Provide AML advisory & training to FTB office to ensure the fulfilment of AML regulatory requirements & group corporate governance
- Approval of High Risk Clients Accounts to on-going transaction monitoring
- Top Ranking Swiss Based Private Bank
- Client Documentation/CDD, FATCA Tax Projects
- Multicultural Environment & Competitive Benefits
- Oversight Client Account Documentation, Client life cycle and Static Data management
- Serve as the case manager/subject matter expert from client on-boarding & periodic review by ensuring the fulfilment of compliance/regulatory/Fatca Tax related requirements
- Drive and streamline processes to maximize quality deliverables
- Top Ranking Int’l & Regional Private Banks
- Familiar with HKMA/AML Compliance Requirements
- Manage KYC/CDD/SOW Functions
- Responsible for client onboarding, account management and periodic review for low-high risk cases
- Ensure the fulfilment of AML/HKMA regulatory requirements
- Tackle & resolve enquiries from Compliance Department
- Global Bank fully regulated by HKMA & SFC
- Derivatives Regulatory Reporting
- Excellent hours and Friendly Team
- Responsible for the timely & accurate regulatory reporting including FATCA, CRS and OTC derivatives reporting etc.
- Ensure adherence to HKMA and HKDPS
- Facilitate the preparation of surveys and annual assessment by regulators by working in collaboration with operations and compliance depts.
- Global Private Bank & Asset Mgmt Franchise
- Internal Auditor & Regulatory Governance
- Rewarding Career with International Exposure
As part of the regional audit team, holding full accountabilities:
- Plan and conduct periodic risk based reviews to identify improvement of the bank’s control
- Serve as the key member of group internal audit to work with compliance, 1st and 2nd line of defence to promote governance control & regulatory requirements
- Primary facilitator in driving any ad hoc requests by management and regulators
- 2nd Line of Defense- Regulatory Risk Management
- Int’l environment with superb worklife balance
- JD/Grading is highly fluid
- As part of the CRO function to provide comprehensive 2nd line of defense from regulatory and risk management/governance
- Assist senior management with the development/implementation control process/policies and KRI indicators by working in close partnership with compliance/audit teams & 1st line of BR
- Plan and guide BR/Operations team on risk assessment & conduct thematic reviews to ensure the fulfilment of regulatory/corporate governance
- Expansion AP Headcount with Int’l Private Equity
- Investment Compliance Advisory
- Oversight Regulatory & Clients Mandates
Report directly to the Regional Head of Compliance
- Tasked with the mission to support the development, implementation, testing and enforcing the firm's compliance programs
- Provide compliance advisory to Portfolio Managers across the region to ensure the fulfilment of SFC, SEC regulatory requirements and client mandates
- Serve as the compliance SME from pre-investment DD, valuation, structuring and on-going monitoring
- 2 Year Renewable Contract (full benefits)
- Stable working environment
- Dynamic and Growing Business
- Support the Head of Legal on all commercial and compliance matters for the HK & Macau businesses
- This includes contract review and management, drafting and review of distribution agreements, reviewing and implementing compliance programs, and conducting relevant research
- Collaborate closely with internal business and corporate functions
- European Pure Play Global Private Bank
- Regional Product Management & Risk Governance
- Multicultural with excellent worklife balance
- Report to the Regional Head of Product Management & Governance
- Oversight and maintenance of cross asset classes of investment products distributed in Asia
- Facilitate strategic/operational projects to manage end to end new product implementation/approval and ensure the fulfilment of regulatory requirements in accordance to HKMA/MAS requirements by working closely with counterparts from FO/Product to Investment Operations/Compliance
- AP Expansion Headcount with Global Private Bank
- Int’l Friendly environment w/ Worklife Balance
- PWM Biz & Regulatory Compliance Advisory
- Report to the North Asia Chief Compliance Officer
- Proactive advisory to business from front to back office with any regulatory changes
- Continuous monitoring of daily business activities to ensure the fulfilment of HKMA/SFC regulatory/corporate governance
- Est. Regional Private Wealth Mgmt Franchise
- Business and Risk Management Functions
- Excellent worklife balance & int’l culture
As part of the Regional Business Management Function to perform the following:-
- Tasked with the mission to monitor Front Office daily business activities including suitability, account opening, AML, product advisory and Investment related aspects
- Facilitate new business/products and transformation/regulatory initiatives
- Review daily activities to ensure fulfilment of regulatory requirements/corporate governance
- Experience in Private Bank/Wealth Mgmt. is a MUST
- Account Opening/KYC & AML Advisory Support
- Periodic Review, EDD & Project Exposure
- Conduct KYC/CDD, Account Documentation Review, Risk Assessment and Approval in accordance to regulatory requirements/corporate governance
- Assume the role as subject matter expert to provide KYC/AML advisory by working closely with RM/senior management
- Conduct investigation/transaction monitoring on any AML related enquiries from regulators/auditors
- Regional L&C Expansion Headcount
- Derivatives & ISDA Legal Advisory/Documentation
- Promising Career with Global Private Bank
- Provide legal advisory; derivative products transaction, negotiation and documentation with counterparties
- Advise & support front office, senior management and other departments to ensure the fulfilment of regulatory requirements & corporate governance
- Assume part of the L&C team to address any legal & regulatory issues including litigation & clients’ complaints etc.