- Regional Compliance with Global Asset Manager
- Regulatory, Central and Investment Compliance
- Regional Exposure & Competitive Package
Our Client
Appointed by a worldclass Global Asset Mgmt & Alternative Investment industry leader, hiring over 1000 investment professionals and total AUM of USD 240 Bn to search for Regional Compliance Analyst/Associate.
Job Duties
- Report to the Regional Compliance Manager
- Accountable for reviewing sales and marketing materials
- Responsible for SFC licensing application, staff dealing and CPT hours
- AML/KYC review and monitoring
- Facilitate periodic compliance surveillance
- Assist the preparation regulatory reporting and procedures review in accordance to regulatory & corporate governance
Requirements
- 2-4 years relevant compliance, audit and investment risk experience earned from asset management industry
- Good understanding of SFC regulatory requirements
- Well qualified graduate in Accountancy, Finance, Business, Economics or related disciplines
- Good proficiency in written and spoken English and Mandarin
- Proactive team player with strong communication and interpersonal
- Proficiency in Microsoft Office applications (PowerPoint, Excel)
- Expansion Headcount with Global Private Banks
- Business Risk, Regulatory Framework & Control
- Healthy Worklife Balance
As part of the Regional Business Risk Management team, you will assume the SME to oversee key regulatory frameworks, enhance operational controls, and serve as a trusted partner with Front Office and Head Office.
- Drive the regional implementation and system localization in accordance to regulatory framework and corporate governance.
- Oversee the Asia Pricing Structure, managing fee schedule updates, platform enhancements, cross-border pricing reviews, and the deployment of pricing compliance controls.
- AML/KYC/SOW exp with Private Banks
- Supportive FCC Compliance Culture
- Healthy Worklife Balance
- As part of the established FCC Compliance Department for North Asia region
- Responsible for reviewing KYC/SOW risk assessment for Client On-Boarding/Periodic Review in accordance to HKMA/AML regulatory requirement and corporate governance
- Facilitate the approval of periodic review
- AML/Transaction Monitoring exp with Private Banks
- Supportive FCC Compliance Culture
- Healthy Worklife Balance
- As part of the established FCC Compliance Department for North Asia region
- Accountable for conducting transaction monitoring, alert clearance and approval in accordance to HKMA/AML regulatory requirement and corporate governance
- Serve as the subject matter expert to tackle any related transaction surveillance issues from front office, operations and risk management teams
Attraction:
- Leadership Role: AML/KYC/Biz Risk, Private Bank
- Rewarding Front Office Management Exposure
- Job Security, Int’l Professional Culture
Tasked with the mission:
Managing a team of 6, you will oversee client lifecycle activities (onboarding, periodic reviews, trigger events) as well as front-office risk controls (investor suitability, sales conduct, and product governance).
Core Responsibilities
- Team Leadership: 1st Line control environment for the HKMA and SFC regulated private wealth arm.
- Advisory & Governance: Key liaison point with front-office teams on AML and general compliance matters. Represent the unit in regional and global governance committees.
- Risk Frameworks: Design and refine risk management practices covering both financial crime, KYC/Client On-Boarding, regulatory risks aspects to ensure daily business activities fulfil regulatory requirement.
Highly-visible Front Office Advisory Opportunity
Healthy Work-life & Friendly Int’l Private Banks
SOW/CDD/AML, Biz Risk and Mgmt
Why Choose This Opportunity?
Core Advisory Mandate: As part of the Front Office 1.5LOD , partnering with ~10 private bankers & senior management of ED/MD levels; directly advising business from client on-boarding, CDD, business risk, daily licensed activities, resolving any incidents/ approving any exceptions
Pure-Play Focus: Deliver impact within an institution exclusively dedicated to continuous growth and long term direction of the Greater China Wealth Management Business
End-to-End Oversight: Shape front-to-back risk controls—covering everything from client onboarding and financial crime prevention to trade suitability and regional cross-border rules.
Primary Accountabilities:
- First-Line Oversight: Drive robust supervisory standards across front-office activities, keeping day-to-day business aligned with internal governance and regulatory expectations.
- Front-Line Advisory: Serve as the first point of contact for private bankers on business/account pipeline review, operational, policy, and compliance matters (e.g., AML/KYC/SOW adjustments, product suitability, and cross-border engagement).
- Process Refinement: Work hand-in-hand with relationship managers, legal counsel, compliance leads, and operational teams to streamline business flows while maintaining strict risk boundaries.