PRBK0415BB628JL
  • 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
APPLY NOW
Category : Private Bank
Industry : Banking & Finance
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