CPLI0117BC107JL
  • Global European Private Bank
  • HKMA Compliance Monitoring & Control
  • Worklife Balance & Excellent Job Security

Our Client

European Based Wealth Management Banking Group, hiring over 550 employees in APAC region and total AUM USD of 195 Billion+ is in search for Compliance Monitoring Veteran of VP Level for Greater China region.

Job Duties

  • Perform annual risk assessment to identify key risk areas that need to be monitored.
  • Report to North Asia Head of Compliance
  • Accountable for HKMA regulatory risk assessment
  • Conduct periodic and thematic compliance monitoring & testing that called for extensive liaison with LOB from front to back office
  • Track for timely resolution of audit/inspection/external review findings that are owned by Compliance
  • Report status of resolution to Head of Compliance, Senior Management and relevant committees.
  • Identify regulatory risk related issues and identify appropriate key control measures
  • Facilitate the implementation of regional & global compliance & risk control governance 

 

 

Requirements

  • Professional Qualification degree in Accounting/Finance or a related field.
  • At least 8 years of experience in HKMA regulatory, compliance monitoring & risk control experience with int’l banks.
  • Strong understanding of HKMA regulatory requirements
  • Knowledge of wealth management is a definite advantage
  • Ability to interpret and apply regulatory requirements in a practical manner.
  • Strong communication and interpersonal skills, with the ability to interact effectively with LOB, senior management and regulatory bodies.
  • Fluency in English is required, additional language skills are a plus.
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Industry : Banking & Finance
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