- 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.
Category : AML, Legal & Compliance 
Industry :
Banking & Finance
You may also interested in......
- KYC/SOW Specialists for COB/Periodic Review
- Multiple Expansion Contract & Permanent Headcounts
- Global Private Bank with Excellent Worklife Balance
Job Duties
- Bridge between Front office and Compliance/AML team for COB & PR Cases
- Case management with full accountability to prepare KYC/SOW to ensure fulfilment of HKMA AML/CFT regulatory requirements
- Assume 1.5 LOD to advise FO on any KYC/EDD related matters for low to high risk clients across the region
- Regulatory Compliance & Risk Review
- Regional 1.5 or 2nd Line of Defense
- Promising APAC Compliance Career & Good Hours
Job Duties
- Report to Regional Head of Compliance & Risk
- Accountable for conducting 1.5 line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with front office, investment, OR & Compliance professionals
- Gatekeeper to ensure fulfilment of HKMA regulatory requirements
- Global Private Banking Group
- Excellent Worklife Balance & Job Security
- Regulatory Compliance Testing & Control
Job Duties
- Report to North Asia Head of Compliance
- Conduct periodic compliance testing & thematic audit 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
- Business Risk & Regulatory Compliance Review
- Regional 1st line of Defense Business Risk Mgmt
- Hybrid work mode & Multi-cultural Environment
Job Duties
- Report to the Head of Business Risk
- Accountable for conducting 1st line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with the front office, investment, OR & Compliance professionals
- Gatekeeper to ensure fulfilment of HKMA regulatory requirements
- Global Private Bank
- KYC/SOW & Account Opening Approval
- Contract Compliance & Risk Management
Job Duties
As part of the Business Risk and Compliance North Asia Team. You will play a key part in
- conducting KYC due diligence, account opening approval, AML investigations, and ensuring compliance with SOW requirements.
- managing regulatory reporting, handling client onboarding procedures, and supporting various risk-related initiatives.