Category
Industry
Salary Range
- Global Industry Leader in Private Banking
- Dept Head for KYC, COB & Client Mgmt Project
- Senior Leadership role as part of the COO function
- As the department head to oversight KYC, Client On-Boarding, Static Management and Regional Project
- Supervise over 25 team-members to accomplish timely SOW/KYC to daily operations for new/periodic accounts by working closely with internal stakeholders including Compliance, Operations and IT Departments
- Represent COO Office from identifying and driving transformation processes to support regulatory, risk & compliance and new business initiatives
- Join one of the region’s leading alternative asset managers
- Rewarding career covering APAC entities
- Leadership role for experienced candidate
- Lead the corporate secretarial function for the group with various legal forms of entities established offshore and across the Asia Pacific region
- Manage the incorporation and management of investment/fund and corporate entities
- Prepare catered corporate resolutions, organize meetings for various board of directors, prepare minutes, and following up on implementation of decisions made when required
- Stable and Established Organization
- Subsidiary of a BlueChip Company
- Commercial and Litigation Support
- Assist in reviewing and following up on different types of commercial contracts and litigation matters
- Support the handling of general commercial matters, conduct legal research, and handle other assignments from time to time delegated by the General Counsel and Legal Counsels
- Assist in handling internal enquiries on legal issues
- Established subsidiary of HK Listed Group
- Report to General Counsel
- Stable work environment
- Provide legal advice and support to different business units of the group in Hong Kong
- Prepare, review and advise on different type of commercial contracts
- Take part in compliance matters including assist in formulating and implementing internal policies and regulations
- Most Admired Global Private Banking Franchises
- Regional Expansion; Hybrid Work Mode
- RCSA, Internal Control & Regulatory Risk
- As part of 1st or 2nd level of defence from BR, RCSA to implementation of effective control in accordance to regulatory requirements & corporate governance
- Work with IT Department to ensure information security, cyber risk resilience and facilitate TRM in accordance to HKMA requirements
- Conduct gap analysis; formulate control process/policies and KRI indicators by working in close partnership with compliance/audit teams & 1st line of BR
- Most Sustainable & Established Global Private Bank
- Expansion Transaction Monitoring/STR Headcounts
- Regional FCC/AML Compliance Dept
As part of the Regional FCC function, the successful job holder will be accountable for
- Report to Head of FCC and partner with a small professional team of 3
- Transaction Monitoring, STR & Continuous Enhancement of AML Procedures and System/Tools Review
- Investigation of trigger events/alerts to ensure the fulfilment of regulatory/corporate governance
- 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