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Senior VP/Team Head Compliance Surveillance & Suitability Control- Private Banking

Asia Progress Executive Limited

  • Company Industries:Human Resources Management/Consultancy

Job Information

  • Post Date:2019-07-08
  • Career Level:Senior
  • Location:Admiralty
  • Yr(s) of Exp:6 years
  • Qualification:Degree
  • Salary:Salary provided
  • Employment Type:Full Time
  • Job Function:Wealth Management
  • Benefits:https://www.asiaprogress.com

Job Description

Our client is European Private Banking To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team

 

Senior VP/ Team Head Compliance Surveillance & Suitability Control -Private Banking 

 

 

Role Overview:

This person provides support to the Hong Kong Compliance team, handling the day-to-day spectrum of compliance activities for the Hong Kong branch, to ensure that the business operations adhere to the requirements of the Hong Kong Monetary Authority, Securities and Futures Commission and the Swiss Financial Market Supervisory Authority (FINMA), and all relevant compliance-related laws and regulations, as well as internal compliance policies and procedures.

 

This person will assist in implementing an efficient control program through ongoing review process, monitoring and surveillance, investigation (including internal disclosures) and reporting

 

Responsibilities:

  • Assisting Head of Compliance Hong Kong in their prime responsibility to comply with all relevant policies and procedures, from group guidance & local regulatory perspective, to ensure the local office has effective control framework with ongoing reviewing /testing programs in place
  • Identify and rectify control weakness through ongoing review/monitoring of the control framework from group and local regulatory requirement perspective
  • Conduct all necessary regular reviews and surveillance on Compliance and controls framework, including but not limited to cross border review, sales process and investment suitability, personal account dealing, outside business interest, complaints, business activities/processes, etc.
  • Prepare working papers and draft monitoring reports for review; follow up and monitor clearance of issues
  • Assist the Head of Compliance Hong Kong in handling and liaison with the HKMA;
  • Assist the Head of Compliance Hong Kong in the preparation and submission of compliance/regulatory reports for management, regulators, auditors, etc;
  • Assist the Head of Compliance Hong Kong in preparation of material for Compliance training;
  • Conduct General Compliance and AML training, keep up to date with implementation of new or revised regulations and update bank staff of the same
  • Assist in audits and inspections, and investigations where required
  • Involvement in special work projects as and when required
  • Assist Head of Compliance, Hong Kong and the Compliance team in any other work matters

 

Competencies:

  • Basic bachelor degree;  
  • 6 - 8 years of relevant experience in general compliance in Private Banking and financial crime compliance, Experience Compliance Surveillance and in suitability 
  • A keen interest to learn and perform compliance matters;
  • Good interactive, communication and writing skills;
  • Able to provide alternative solutions to business;
  • Motivated and innovative; able to handle issues and resolve challenges in collaboration with colleagues; 
  • Team player

 

 

Please send full resume with present & expected salary to expedite sourcing in MS-WORD format by clicking “APPLY NOW

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Personal data provided by job applicants will be used strictly in accordance with the employer’s personal data policies, a copy of which will be provided upon request

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Company Info

Asia Progress is a well-established and reputable boutique talent acquisition agency specialising in the Banking & Finance industry. We firmly believed in providing exclusive and bespoke talent search to our clients and career advice to our candidates. 

Equipped with solid experience in recruiting for all levels, we have successfully developed an established and renowned practice. Our reputable network in the Banking & Finance industry is what makes us stand out from our competitors and enables us to remain competitive yet at the same time providing professional talent search and career advice.

For enquiries and contact details, please visit: www.asiaprogress.com.

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