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.
Our Client
We have been retained by an established global private bank with a dedicated team of 800+ professionals across the region. The institution balances an expanding North Asia client footprint with a collaborative, people-centric International environment.
Job Duties
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.
- Escalation & Problem Solving: Assess non-standard client requests, resolve operational hurdles, grant required sign-offs, and escalate major risk items to executive committees.
- Risk Analytics & Health Checks: Perform periodic business reviews and trend analyses to catch potential control gaps early and ensure audit or regulatory findings are resolved promptly. Keep front-office teams up to speed on regulatory developments, market insights, and best practices.
- Strategic Growth Initiatives: Represent the business in governance forums, risk committees, and operational enhancement projects to support North Asia/Greater China business growth
Requirements
Candidate Profile
- Steady Track Record: 15+ years within int’l Private Banking or Wealth Management, with deep exposure to Front Office Business Management, 1st Line Control, or Business Risk
- Level: Proven experience operating at the Senior Vice President, Director, or Executive Director level
- Technical Breadth: Profound understanding of HKMA regulatory requirements and Comprehensive knowledge of private banks operations from front to back office—including client onboarding/CDD, AML/CFT standards, trade execution, and North Asia regulatory requirements.
- Stakeholder Gravitas: Strong diplomatic and communication skills to influence senior private bankers and collaborate effectively across functions from front to .
- Languages: Excellent proficiency in English, Mandarin and Cantonese
- 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
- Business & Regulatory Risk Management
- Drive Regional Surveillance Projects
- Healthy Work life Balance & Job Security
- Report to the North Asia Head of Business Risk
- Accountable for conducting regulatory & thematic business risk assessment including product suitability, cross border, pricing, selling process, transaction review by collaborating with the front office, investment, compliance and audit teams across the region
- Responsible for voice log review and transaction monitoring to ensure the fulfilment of HKMA/SFC regulatory requirements
- Reputable Global Private Banks
- Internal Surveillance & Regional Project
- Good Benefits & Worklife Balance
- 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
- Solid AML/KYC/SOW experience with Private Banks
- Friendly & Supportive International Corporate Culture
- Excellent Job Security & Competitive Package
- Responsible for KYC and Client Due Diligence for low to high risk HNW Private Clients
- Source of Wealth assessment and review for new clients, ensuring the compliance with HKMA/AML regulatory requirement and corporate governance
- Serve as the subject matter expert to advise and review KYC/Client Life Cycle requirements for the Front Office