- 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
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