11 days ago
My client is a tier-one European private bank offering asset & wealth management services. Their AUM hit over $210 billion USD last year, with branches across 40 countries and regions.
They are currently for a regulatory compliance monitoring manager to conduct second line of defence monitoring activities. Candidates are responsible to design and implement bank’s monitoring, surveillance, and testing programs.
- Design and implement compliance monitoring, surveillance, and testing program.
- Monitor as second line of defence across a number of areas, including but not limited to suitability, cross-border activities, best execution, trade surveillance, etc.
- Assist in designing and operating effectiveness of the program related to business, legal and regulatory environment.
- Responsible for regular reports of monitoring results to management for further assessment and action.
- Support other compliance functions such as general compliance advisory,
- Bachelor’s Degree holder, preferably in Business, Finance, Account, Law or related field.
- Minimum 8 years’ Audit/ Compliance working experience, preferably in private banking.
- Familiar with HKMA and SFC’s laws and regulations.
- Capable to work independently and in a team environment.
- Proficient in written and spoken Chinese and English.
For interested parties, please contact Winifred at +852 2777 6277 or email@example.com for further discussions.