Associate, Compliance Testing – Private Banking Associate, Compliance Testing – Private Banking …

Charterhouse Partnership Hong Kong
in Hong Kong
Permanent, Full time
Last application, 10 May 21
Attractive
Charterhouse Partnership Hong Kong
in Hong Kong
Permanent, Full time
Last application, 10 May 21
Attractive
Posted by:
Maggie Yu • Recruiter
Charterhouse Partnership Hong Kong
Posted by:
Maggie Yu
Recruiter
• International European Private Bank • 5 to 7 yrs exp. in compliance review • General private banking compliance

Responsibilities:

 

  • Identify and rectify internal breaches/control weakness through ongoing review/monitoring of the control framework from group and local regulatory requirement perspective;
  • Conduct regular reviews and surveillance on Compliance and controls framework, which cover the following and not limited to - investment selling practice (suitability), product due diligence, general compliance, ad-hoc thematic reviews;
  • Prepare documentation to report and escalate any issues and exceptions for managerial review; recommend the mitigation actions where needed;
  • Capture and analyze data and identify trends in assessing regulatory compliance risks and advise stakeholders in developing effective controls
  • Assist in the preparation and submission of compliance/regulatory reports for management, regulators, auditors etc;
  • Assist in audits and inspections, and investigations where required;
  • Involve in special work projects and other Compliance team work matters as and when required

 

Requirements:

 

  • University degree;
  • 5 - 7 years of relevant experience in monitoring and testing, general compliance in private banking
  • Good interpersonal communication and writing skills, team player
  • Able to identify control weakness, and provide recommendation for business action;
  • Motivated and self-driven; able to handle issues and resolve challenges in collaboration with different stakeholders;
  • Fluent English and Chinese language skills

 

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan@charterhouse.com.hk  Web: www.charterhouse.com.hk

 

Charterhouse Partnership Hong Kong is here to assist you in your job search. Our experienced recruitment consultants will provide you with career advice and assist you to develop a tailored job search strategy.

Company Overview
about charterhouse

Charterhouse was formed in 2003 in Australia and it has established itself as a reputed recruitment specialist in its industry. With footprints in Asia, Australasia and the Middle East, we offer professional and bespoke contingency and retained search services across a variety of industrial sectors.

For more information on how we can help you, give us a call for a confidential discussion at (65) 6435 5600.

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