- 1st line Biz Risk to oversight KYC/Transaction Review
- Dynamic Front Office Risk & Regulatory Exposure
- Regional Expansion & Multi-cultural Environment
Our Client
Appointed by the Regional Private Wealth Management Arm of the most reputable Asian Based Global Securities, Asset Management & Banking Group, hiring over 25000 in 30 countries to search for Business Mgmt & Risk Senior Associate/AVP.
Job Duties
- Report to Regional Head of Business Management & Risk
- BR function serve as the bridge between Sales, Front office and Compliance/CDD team for COB & PR Cases
- Gate-Keeper of KYC/SOW; product suitability; selling process and transaction review
- Assume 1st line of Defence to ensure daily business activities adhere to regulatory requirements and corporate governance by working closely with Legal & Compliance; Risk and Operations across the region
- Facilitate in process improvement & governance control framework review
Requirements
- Degree holder in accounting or related disciplined with 6 years+/- Business Control/Compliance & Risk Advisory experience
- Understanding HKMA/AML/KYC regulatory knowledge
- Self-motivated team player with excellent analytical and problem solving skills
- Strong proficiency in English and Mandarin is highly desirable
Category : Audit & Risk Management
Industry :
Banking & Finance
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