Category
Industry
Salary Range
- 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.
- 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