- 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
Category : AML, Legal & Compliance 
Industry :
Banking & Finance
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