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Compliance Manager, Private Banking

Compliance Manager, Private Banking

Job Title: Compliance Manager, Private Banking
Contract Type: Permanent
Location: Hong Kong
Industry:
Salary: Negotiable
Reference: 125
Contact Name: Pathay Singh
Contact Email: pathay.singh@thecompliancegrid.com
Job Published: August 15, 2016 16:28

Job Description

Client Profile: Confidential (available on request)

Responsibilities

  • Provide second-line of defence advice focusing on trust and discretionary portfolio management businesses and oversight to ensure that the whole Private Banking risk-based compliance monitoring program covering advisory, discretionary management and trust activities, is conducted in accordance with internal policies and applicable laws and regulations.
  • Review and provide feedback on emerging regulatory issues and industry practices that may impact the business;
  • Review and advise the business on client documentation, product development, licensing, marketing material, regulatory applications, etc. that require Compliance input;

Qualifications:

  • Degree in Law, Finance, Business Administration or similar;
  • Minimum of 8 years of related compliance experience which may include: private banking, wealth management, bank systems or operations, audit, compliance or law;
  • Excellent knowledge and understanding of the Hong Kong regulations (including experience having contact with the HKMA and SFC) and knowledge of industry best practices in compliance, governance and risk management;
  • Excellent verbal and written communication skills in English and Chinese.

If you would like further information and a full role description please contact Pathay Singh on +852 25214078 or pathay.singh@thecompliancegrid or email CV to ilia.p@thecompliancegrid.com