• 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 




  • 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.
Industry : Banking & Finance
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  • 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
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  •  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.
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  • Travel Arrg, Legal Documentation & Billing
Job Duties
  • Report to Partners with specialization in Financial Institution, M&A and Investment Management transactions
  • Accountable for calendar management & demanding travel arrangement
  • Manage intensive back to back meeting schedules across GC, AP and HQ
  • Top Ranking Pure Play Global Private Bank
  • Oversight Regulatory Affairs & Central Compliance
  • Excellent job security and worklife balance


Job Duties
  • As part of the core team members to oversight Regulatory Affairs Compliance issues
  • Assume the subject matter expert on any regulatory changes and faciliate the proper implementation of procedures & policies
  • Provide active advisory to business and senior management on any regulatory changes and implications to business