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VP - Compliance (Wealth Management)
- Top tier foreign bank
- Excellent career growth
About Our Client
Our client is one of Hong Kong's fastest growing top tier foreign banks with a significant presence in the APAC region.
Reporting directly into the Division Head, your responsibilities would include the following:
* Providing advice and support on all compliance related issues for the Wealth Management business in Hong Kong
* Providing training, including induction
* Conducting compliance monitoring and desk reviews
* Consistently liaising with and updating the business on any regulatory requirements/changes/policies/procedures
* Creating and driving new compliance policies and procedures
* Working with and supporting WMD Business Control in monitoring and reviews - escalate matters to and advise Senior Management when applicable
* Partnering with WM and Trust business in new growth initiatives
* Dealing with regulatory inquiries, examinations and audits, plus liaise with regulators, Legal, internal and external auditors.
The Successful Applicant
* Degree preferably in a relevant discipline (e.g. Finance, Business, Accounting, Legal)
* Minimum 6-8+ years' experience in Compliance in a financial institution, preferably in private banking / wealth management.
* Familiar with operations within a wealth management business and the corresponding SFC rules and regulations - being able to identify risks within the business
* Ability to act decisively and independently in situations requiring quick analysis
* Excellent skill in spoken and written English. Mandarin would be an added advantage.
* Understanding of main Asia Pacific laws and regulations and experience in handling queries from and dealing with regulatory bodies
* Experience in conducting monitoring, surveillance and desk reviews
What's on Offer
Highly competitive salary with attractive benefits and career advancement.