Category
Industry
Salary Range
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.
- 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
- Listed Technology & Telecom Conglomerate
- Promising Career with Diversified Exposure
- Benefits including ORSO/Discretionary Bonus
- Business Partnership: Manage relationships with diverse business units, including mobile, technology, media and digital ventures, to understand their unique risk profiles.
- IT Audit: Lead and execute comprehensive audits across a complex tech stack involving infrastructure, cloud computing, IoT, and AI-driven platforms.
- Special Projects: Conduct operational reviews and special investigations into emerging technology areas such as virtual banking and mobile payments.
- 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
- Global Private Bank with 850 Employees+ in APAC
- Regional Business Mgmt to APAC Governance
- Good Corporate Culture & Worklife Balance
- Report to the Regional Head of Governance
- Accountable for timely preparation of management reports and analysis
- Responsible for coordinating regional governance & risk management committee meetings and agenda
- 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
- Regulatory Compliance & Risk Review
- Regional 1.5 or 2nd Line of Defense
- Promising APAC Compliance Career & Good Hours
- Report to Regional Head of Compliance & Risk
- Accountable for conducting 1.5 line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with front office, investment, OR & Compliance professionals
- Gatekeeper to ensure fulfilment of HKMA regulatory requirements
- Expansion Headcount with Global Private Bank
- Internal Control & Regulatory Surveillance
- Promising APAC Career Path & Rewards
- Accountable for Internal Control & Surveillance Support
- Facilitate periodic regulatory internal audit and risk assessment
- Assist from identifying risks, assessing control procedures and ensuring fulfilment in accordance to HKMA/MAS and corporate governance
- Global Management Consultancy Group
- EA/Office Administration for Regional Office
- Hybrid Mode and Multi-Cultural Environment
- Provide EA support (including diary management/T&E) to a team of senior executives- MD/Partner
- Accountable for managing office administration by collaborating with OM/Admin professional
- Support executives from conducting desk top research, presentation materials and management reports
- Regional exposures and stable platform
- Friendly working culture
- Promising career development
- As part of the Regional CDD Team under the COO Office, this job holder will be responsible for:
- Accountable for client onboarding for low to high-risk corporate and institutional clients Conduct end-to-end KYC / PEP and comprehensive CDD / EDD assessment in accordance with HKMA regulatory requirements/corporate governance
- Serve as the bridge between front office and compliance to tackle AML/FCC-related issues
- Global Private Banking Group
- Excellent Worklife Balance & Job Security
- Regulatory Compliance Testing & Control
- Report to North Asia Head of Compliance
- Conduct periodic compliance testing & thematic audit to ensure daily activities of HK Branch adhere to the regulatory requirements including HKMA/SFC/MAS and corporate governance
- Review and oversight the effective implementation of control programs through ongoing review, monitoring and surveillance, investigation and reporting
- Business Risk & Regulatory Compliance Review
- Regional 1st line of Defense Business Risk Mgmt
- Hybrid work mode & Multi-cultural Environment
- Report to the Head of Business Risk
- Accountable for conducting 1st line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with the front office, investment, OR & Compliance professionals
- Gatekeeper to ensure fulfilment of HKMA regulatory requirements
- Global Private Equity Investment Manager
- Regional Investment Risk Oversight
- Promising Exposure with Competitive Benefits
In this role, you will be responsible for monitoring and analyzing investment risks across a diverse portfolio of assets. You will work closely with senior management and fund managers to develop risk management strategies and ensure compliance with regulatory requirements. Participate in ad-hoc global/regional projects to facilitate the new fund launch in the Greater China region.