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.
- 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
- Multiple Investment Operations Asso/VP
- Newly Set up North Asia Operations BAU & Control
- Int’l Private Bank, Health Work Life & Security
- Team Leadership: Supervise, mentor, and grow the Hong Kong Securities and Payments Operations team (4+ staff) to ensure smooth day-to-day controls, settlement, middle office, and reconciliation.
- Multi-Asset classes of Securities & Structured Products Operations: Check and validate trades, ensuring timely confirmation, matching, and settlement of OTC equity structured products and securities by working with external counterparts & custodian and internal front office & compliance departments.
- Regulatory Compliance: Ensure strict adherence to HKMA, SFC and HK Exchange & Clearing reporting & regulatory requirements.
- Receptionist and Administrative Support
- Professional Financial and Banking Industry
- Immediate openings & Friendly Culture
Reception & Client Hospitality: Greet corporate clients and institutional guests, manage the central switchboard, and handle incoming/outgoing couriers and mail distribution.
Meeting Room Management: Oversee the scheduling, setup, and tidiness of executive meeting rooms; coordinate logistics and catering for high-level regional meetings and internal events.
- FX, Treasury & Structured Solutions Specialist
- Product Advisory & Trade Execution
- Promising Career with Int’l Private Bank
Elite Advisory & Market Insights: Deliver tailored macroeconomic analysis and currency insights directly to private bankers and external UHNW clients.
Institutional Execution: Take accountability for maintaining "Best Execution" standards, ensuring timely and accurate pricing across all major currency pairs and structured derivatives.
Bespoke Structuring: Design customized currency structures and thematic trading strategies that align with individual risk boundaries and portfolios.
- Strategic Biz planning & project mgmt support
- Senior Leadership Exposure with Global Bank
- Promising Career Path with outstanding Benefits
- Strategic Planning & Project Mgmt Support: Support the Regional CEO Office on daily business & regional activities including calendar management and acting as the key coordinator to work with internal/external stakeholder across the region and head-quarters
- Management Reporting & Analytics: Provide data and market insights into high-quality management reports, dashboards, and presentations to facilitate critical executive decision-making.
- Stakeholder Management: Serve as a key liaison between the CEO office and senior stakeholders across local and global teams, ensuring alignment on regional priorities.
- Multiple Corporate Finance/IPO Openings
- Corporate Finance Execution-1, 4 & 6 activities
- Promising Career Path & Supportive Culture
Deal Execution: Drive end-to-end execution for IPOs, M&A, and capital raising projects across SFC Type 1, 4, and 6 regulated activities.
Front-Line Due Diligence: Conduct heavy-lifting financial analysis, industry research, and rigorous due diligence for potential transactions.
Regulatory Compliance: Prepare listing documents, announcements, and circulars in strict accordance with HKEX Listing Rules and SFC regulations.
- 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
- SFC-licensed Responsible Officer (RO)
- Snr Mgmt Role -oversight Type 1, 4 & 6 activities
- Promising & Rewarding Career
Regulatory & Compliance Leadership (RO Duties):
- Reporting directly to the Managing Partner, you will bridge top-tier regulatory oversight with dynamic business growth.
- Act as an SFC RO to supervise the firm's Type 1, 4, and 6 regulated activities.
- Oversee daily operations to guarantee absolute compliance with SFC codes, the HKEX Listing Rules, the Takeovers Code, and all applicable legal frameworks.
- Regional IT Infrastructure
- Regulatory Projects & People Mgmt
- Healthy Work life Balance & Job Security
1. Join a high-performing APAC infrastructure team as a key deputy to the Head of IT, driving operational excellence and governance across complex regional projects and Microsoft Cloud ecosystems.
2. Elevate your technical footprint by managing high-stakes financial infrastructure, including global payment systems (SWIFT/RTGS), advanced virtualization (VMware/Hyper-V), and secure data center operations.
3. Balance deep hands-on technical execution in server and storage management with high-level reporting, stakeholder engagement, and the standardization of IT policies in accordance to HKMA/MAS requirements and corporate governance
- Top-Tied Global Financial Institution
- Biz Planning, Mgmt Support & Events Logistics
- Promising Career Path
- Acting as the coordinator for the APAC CEO office to support strategic business planning & regional activities
- Provide calendar management and events logistics coordination by working with internal/external clients along with the support of marketing department
- Disseminating value-added information by working in close partnership with the front office, risk & compliance stakeholders across APAC & Global HQ
- 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
- Strong Brand with Promising Career
- Friendly, Supportive & Collaborative Int’l Team
- Outstanding Benefits and WFH Policy
What You Will Do:
- Drive Growth: Identify and cultivate new business from retail banks and wealth management platforms in Hong Kong.
- Manage Key Accounts: Maintain and strengthen existing distribution relationships, ensuring products constantly rank as a core part of their recommended lists.
- Technical Advisory: Effectively communicate the investment philosophies, strategies and market outlook to clients. Assuming the bridge between investment manager & clients. Building trust through expertise.
- Expansion Headcount for Global Private Equity
- Team EA & Regional Roadshow Coordination
- Multicultural & Professional Int’l Environment
- Report to a small team of senior expats executives across APAC in charge of Clients & Products Distribution
- Provide full spectrum of business administration & secretarial support including calendar management, T&E and database management
- Accountable for roadshow and events logistics that required extensive liaison with external/internal clients, marketing and vendors
- In-House Fund Accounting & Operations Expo
- Friendly International Asset Manager
- Excellent Working Hours & 23 Days Annual Leave
- Report to Regional Head of Fund Accounting & Operations
- Integrated functions from corporate financial reporting, NAV and fund operations by working closely with external fund administrators
- Conduct detailed reviews of financial statements and investors reports