- Global Private Banking Group
- Excellent Worklife Balance & Job Security
- Regulatory Compliance Testing & Control
Our Client
Appointed by global private bank with 300 employees in APAC region to search for Regulatory Compliance Testing & Assurance Manager
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
- Provide value added consultancy from identifying control weaknesses/enhancement of framework through engaging periodic reviews related to investment suitability, AML, cross border review, selling process and personal account dealing etc
- Facilitate investigation by working with external regulators/internal & external auditors
- Promotion of compliance culture by assuming active advisory/training to senior management
Requirements
- Degree holder in Accounting/ Business/Legal or related disciplines
- 5 years+/- of relevant regulatory compliance, risk assurance and monitoring control related experience earned regulatory, risk consultancy or private bank
- Good understanding of HKMA regulatory requirements and private banking risk control is highly desirable
- Driven with strong problem solving capability and communication skill
- Excellent proficiency in English is highly essential to work with HQ and APAC region
- 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.
- Solid AML/KYC/SOW experience with Private Banks
- Friendly & Supportive International Culture
- Healthy Worklife with Excellent Exposure
- Responsible for KYC and Client Due Diligence for low to high risk HNW Private Clients
- Conduct PEP, Sanctions and AML review to ensure compliance with HKMA regulatory requirement and corporate governance
- Serve as the subject matter expert to advise and review KYC/Client Life Cycle requirements for the Front Office