- European Based Private Banking Group
- Excellent Worklife Balance & Job Security
- Compliance Testing, Monitoring and Control
Our Client
Appointed by Swiss based family owned private bank with 150 employees in HK branch to search for Compliance Testing & Monitoring Controller of AVP level+
Job Duties
- Report to North Asia Head of Compliance and Head of Compliance Monitoring & Testing
- Conduct periodic compliance testing 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
- Provide value added consultancy from identifying control weaknesses/enhancement of framework through engaging periodic reviews related to investment suitability, AML, cross border review, selling process and personal account dealing etc
- Facilitate investigation by working with external regulators/internal & external auditors
- Promotion of compliance culture by assuming active advisory/training to senior management
Requirements
- Degree holder in Accounting/ Business/Legal or related disciplines
- Big4 trained, 5 years+/- of relevant regulatory compliance with specialisation in surveillance, monitoring and control
- Good understanding of private banking business is essential
- Profound knowledge of HKMA regulatory requirements
- Driven with strong problem solving capability and communication skill
Category : Private Bank 
Industry :
Banking & Finance
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