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).
Our Client
On behalf of the most respectable Global Private Bank & Asset Management group with AUM USD 900bn hiring 450 professionals+ in APAC to search for Senior Leader, Executive Director to take charge of the Private Wealth Management division's Business Risk & First Line Controls
Job Duties
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.
- Audit & Remediation: Guide the team through internal audits and regulatory reviews, managing remediation actions to completion.
- New Product Review: Evaluate new product and service proposals (NPS) to ensure risk and control requirements are met prior to rollout.
- Executive Reporting: Keep senior management and global risk leadership informed on emerging risks, control gaps, and team deliverables.
- Candidate Requirements
Requirements
- Experience: At least 15 years+ steady track record in financial crime prevention, AML, business risk oversight or front office business management with international private banks. Familiar with HKMA regulatory requirements.
- Education: University degree required. Professional CAMS/AML credentials (such as CAMS) are a definite advantage.
- Skills: Strong Leadership competency to advise, consult and resolve any business risk and provide practical solutions to cater for the regulatory and corporate governance requirements
- Languages: Fluent in English and Chinese (Cantonese and/or Mandarin), both written and spoken.
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
- 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