RESPONSIBILITIES:

This role is responsible for managing the Firm's regulatory risk and helping to preserve the Firm's franchise through ensuring Business and Infrastructure Units' compliance with relevant laws, regulations, rules and internal policies and procedures in the region.

• Ensure compliance with laws, regulations and rules and the Firm's policies, procedures and standards, with a focus on Hong Kong banking, private banking and securities-related business.
• Maintain Compliance documentation including business unit manuals, Compliance Notices, rules databases, risk assessments and Compliance plans.
• Conduct periodic desk, adviser and client reviews of Firm activities
• Ensure management and staff are properly registered or licensed
• Monitor for regulatory changes and communicate such to the relevant staff
• Develop new surveillance reports and systems with IT and respective business units
• Advise the PWM Business Unit on all regulatory and Firm Compliance matters
• Deal with ad-hoc regulatory inquiries

REQUIREMENTS:

• At least 5 years of relevant working experience in the financial services industry in Compliance or related fields
• Wealth management/Private Banking experience
• Excellent verbal and written English communication skills essential, fluency in Asian languages e.g. Mandarin or Cantonese advantageous
• An analytical mind and a fast learner
• Attention to detail
• Team player and has ability to act independently

For interested parties, please send your detailed resume together with current and expected salary to Eugenia Tse ([email protected]) or call 2232 3490. All personal data collected will be kept under strictly confidential and will be only used for recruitment purpose.