- Regulatory Compliance & Risk Review
- Regional 1.5 or 2nd Line of Defense
- Promising APAC Compliance Career & Good Hours
Our Client
Immediate openings with multiple Regional and Global Private Banks to search for Junior Regulatory Risk & Compliance candidates to be part of the growing team for 1.5 or 2nd line of defense for APAC region.
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
- Facilitate in process improvement; governance framework review and on-going KRI reporting
Requirements
- Degree holder in accounting or related disciplined with 4 years+/- Regulatory Risk Control, Business Risk and Compliance experience earned from int’l private bank
- Big4 trained is definite advantage
- Self-motivated team player with excellent analytical, problem solving and stakeholder management capabilities
- Good understanding of regulatory requirements
- Strong proficiency in English and Mandarin is highly desirable
Category : AML, Legal & Compliance 
Industry :
Banking & Finance
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