- 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
You may also interested in......
- Cross Asset Classes of Dealing Team Lead
- Global Banking with Comprehensive Bank Benefits
- Excellent Worklife Balance & Job Security
Job Duties
- Reporting to Regional Head of Dealing & partner with professional team of cross asset classes of investment advisors
- Accountable for timely equities, fixed income and structured products trade execution by collaborating with experienced private bankers for external UHNW families & clients for AP/Greater China region
- Facilitate regional and global new business/products and regulatory related initiatives
- Stable and well-established platform
- Dynamic and friendly working environment
- Excellent investment product exposures
Job Duties
The seasoned jobholders will be responsible for:
- Assistant Senior Private Bankers on daily pre and post-sales services
- Handling new to bank and regular accounts reviews and documentation, pricing quotation, order placing, and portfolio management
- Preparing investment and product presentation materials
- Expansion Headcount in the HK Office
- Sales assistant, operations & regulatory support
- Friendly working environment
Job Duties
- Manage daily trust administration and ongoing operations including vesting of shares, injection/distribution of assets, incorporation of holding company, bank account openings
- As the key gatekeeper in reviewing trust and KYC documents in accordance with the proper compliance
- Maintain client relationships and conduct regular reviews to cope with clients’ trust needs
- Life Insurance Case Management for HNW clients
- Excellent FO Client Management Exposure
- Int’l Private Banking Platform & Job Security
Job Duties
- Accountable for managing life insurance case management for UHNW Private Clients in Greater China markets
- Serve as the bridge between insurance companies, private bankers and Clients
- Support Bankers/Clients with medical booking, and preparation of documents for new/annual renewal of applications to ensure compliance with regulatory requirements
- Expansion Headcount in the HK Office
- Sales assistant, operations & regulatory support
- Friendly working environment
Job Duties
- Assisting Relationship Banker(s) to provide high-quality services to high-net-worth individual clients in Greater China, SE Asia and Hong Kong Markets Working closely with external counterparties in account opening, pricing quotation, bank and fund operations
- Resolving daily enquiries from affluent professional investors
- Participating in ad hoc regional and local projects