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Head of Compliance, Private Banking – European Bank

Head of Compliance, Private Banking – European Bank

Job Title: Head of Compliance, Private Banking – European Bank
Contract Type: Permanent
Location: Hong Kong
Industry:
Salary: Negotiable
Reference: 127
Contact Name: Pathay Singh
Contact Email: pathay.singh@thecompliancegrid.com
Job Published: July 25, 2016 15:19

Job Description

This Banking Group has a 200+ year history and its main objective is to provide client centric baking services.

Responsibilities

  • Promote the implementation of and compliance with Private Bank compliance policies and     procedures.
  • Liaise with the regulator on routine compliance matters as they affect the Private Bank business in Hong Kong, including but not limited to self-assessment requests by the regulator and other day-to-day enquiries.
  • Assist in managing regulatory issues arising from complaints, alleged or actual breaches of regulatory requirements or ethical standards in Private Bank so as to avoid/ minimise the reputational damage to the Bank.
  • To assist in monitoring of closures of compliance issues identified during the normal course of business and by internal and external reviews, e.g. Internal Audit, the local regulator and the Head Office regulator.

Requirements:

  • University graduate with at least 10 years of overall working experience with solid compliance experience in banking and investment products.
  • Familiar with private banking environment and practices in Hong Kong preferably with solid knowledge of recent regulatory changes, wealth management products, marketing materials review   and product suitability.
  • Good knowledge of Hong Kong securities and banking rules and regulations

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.