- Reputable Global Private Banks
- Internal Surveillance & Regional Project
- Good Benefits & Worklife Balance
Our Client
Join our clients’ expanding North Asia Risk Management team with Global Private Banks to oversight the internal surveillance and monitoring of employee emails to safeguard the interest of the bank in accordance to HKMA & MAS regulatory requirements and corporate governance.
Job Duties
- Tasked with the mission to protect the bank from internal fraud and critical data breaches
- Accountable for monitoring the email communications and attachments
- Facilitate related investigation by working closely with internal/external stakeholders across compliance and audit teams
- Assume the SME to support the smooth implementation of the in-house surveillance system and review of related protocols/procedures
Requirements
- Degree holder with over 4years+ operational risk, compliance, internal control & monitoring or related surveillance experience with HKMA/SFC regulated financial institutions
- Profound understanding of email communication protocols and data security best practices
- Strong analytical capability and competency to translate complex communication data into clear, actionable briefings
- Strong proficiency in English and Chinese is critical
- 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