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Job

PB Compliance Monitoring VP

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Contact:

    Winifred Tsang

  • Contact email:

    w.tsang@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    6 months ago

  • Expiry date:

    2021-05-27

  • Startdate:

    ASAP

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.

Responsibilities:

  • 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,

Requirements:

  • 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 w.tsang@hamlynwilliams.com for further discussions.

 

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