- Top Ranking Pure Play Global Private Bank
- Oversight Regulatory Affairs & Central Compliance
- Excellent job security and worklife balance
Our Client
Searching for Regulatory Central Compliance Senior Manager with one of the most established Global Private Bank with 250 employees+ in North Asia Branch and operations in over 20 locations.
Job Duties
- As part of the core team members to oversight Regulatory Affairs Compliance issues
- Assume the subject matter expert on any regulatory changes and faciliate the proper implementation of procedures & policies
- Provide active advisory to business and senior management on any regulatory changes and implications to business
- Collaborate with internal stakeholders from self-assessment, complaints and external/internal audit
- Manage regulatory survey/reporting; licensing/registration and related enquiries on a timely basis
Requirements
- Bachelor's degree in Law, Finance, Business, or related field
- 8+ years of regulatory affairs compliance experience in banking
- Understanding of wealth management business is highly desirable
- Strong knowledge of HKMA/SFC regulations
- Excellent communication and problem-solving skills
- Ability to work collaboratively and manage projects effectively
Category : AML, Legal & Compliance
Industry :
Banking & Finance
You may also interested in......
- AML/KYC/SOW/Surveillance Exp. with Private Banks
- Multiple Expansion Headcounts with Int’l Private Banks
- Excellent Job Security & Comprehensive Bank Benefits
Job Duties
- Bridge between Front office and Compliance/AML team for COB & PR Cases
- Fully Accountable for CDD/KYC/SOW and Transaction Monitoring to ensure fulfilment of HKMA, MAS and AML/CFT regulatory requirements
- Assume 2nd LOD to advise FO on any FCC/KYC/EDD related matters for low to high risk clients across the region
- KYC/SOW Specialists for COB/Periodic Review
- Multiple Expansion Contract & Permanent Headcounts
- Global Private Bank with Excellent Worklife Balance
Job Duties
- Bridge between Front office and Compliance/AML team for COB & PR Cases
- Case management with full accountability to prepare KYC/SOW to ensure fulfilment of HKMA AML/CFT regulatory requirements
- Assume 1.5 LOD to advise FO on any KYC/EDD related matters for low to high risk clients across the region
- Regulatory Compliance & Risk Review
- Regional 1.5 or 2nd Line of Defense
- Promising APAC Compliance Career & Good Hours
Job Duties
- Report to Regional Head of Compliance & Risk
- Accountable for conducting 1.5 line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with front office, investment, OR & Compliance professionals
- Gatekeeper to ensure fulfilment of HKMA regulatory requirements
- Global Private Banking Group
- Excellent Worklife Balance & Job Security
- Regulatory Compliance Testing & Control
Job Duties
- Report to North Asia Head of Compliance
- Conduct periodic compliance testing & thematic audit to ensure daily activities of HK Branch adhere to the regulatory requirements including HKMA/SFC/MAS and corporate governance
- Review and oversight the effective implementation of control programs through ongoing review, monitoring and surveillance, investigation and reporting
- Business Risk & Regulatory Compliance Review
- Regional 1st line of Defense Business Risk Mgmt
- Hybrid work mode & Multi-cultural Environment
Job Duties
- Report to the Head of Business Risk
- Accountable for conducting 1st line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with the front office, investment, OR & Compliance professionals
- Gatekeeper to ensure fulfilment of HKMA regulatory requirements