- Top Ranking Pure Play Swiss Based Private Bank
- Lead Regulatory, Product & Surveillance Functions
- Promising Growth & Comprehensive Bank Benefits
Our Client
Representing the most sustainable Global Private Bank with established operations in over 20 locations to search for Regulatory & Product Compliance Director.
Job Duties
- Report to North Asia Head of Compliance and act as the team lead function by supervising 2-3 subordinates for regulatory, product and surveillance functions
- Key person for the HKMA and SFC on regulatory matters re regulatory notifications, self-assessments, on-site examination, complaints handling and regulatory enquires
- Assume in-house regulatory advisory, general compliance and surveillance functions to Snr Mgmt, line managers across FTB Offices in AP and HQ
- Assume part of the senior compliance management function to facilitate the development of internal policies and procedures such as selling process of investment products, client profiling, outsourcing, insurance referrals and other business activities
- Provide oversight on product offering including new product approvals, supervision on front-to-end product due diligence, distribution process and marketing materials reviews
- Provided compliance advice and recommendation to senior management on potential compliance risks, areas for control enhancements and other regulatory matters
Requirements
- Degree holder in Accounting/ Business/Legal or related disciplines
- 10 years+/- of relevant regulatory & product compliance experience including 3 years earned from private banking/wealth management or HKMA/SFC regulator
- Relevant industry experience in private banking business is highly desirable
- Good understanding of HKMA/SFC regulatory requirements
- Driven with strong problem solving capability and communication skill to work with internal stakeholders
Category : AML, Legal & Compliance 
Industry :
Banking & Finance
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