Associate Director, Compliance Testing - Private Banking Associate Director, Compliance Testing - Private  …

ConnectedGroup Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 18 Aug 19
Negotiable
ConnectedGroup Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 18 Aug 19
Negotiable
Our client, a renowned private bank, is currently seeking a high caliber professional to join the team as Associate Director, Compliance Testing of Private Banking. Open to consulting background candidates.

Key Responsibilities

  • Conduct compliance testing and regulatory risk assessments on Business Units (AML, investment suitability and selling process) to ensure end to end processes are in compliance with regulatory requirements
  • Design, develop and execute testing in accordance with the independent regulatory policy and the Bank procedures in a timely manner
  • Plan and make recommendations with stakeholders to strengthen internal control measures and remediate deficiencies
  • Report findings and provide recommendations to lines of business and management across the bank
  • Maintain broad knowledge of business and relevant regulatory framework in which the Bank operates
  • Drive and evolve Compliance department standards and procedures, so that they remain fit for purpose, are responsive to business requirements and are subject to ongoing assessment.
  • Maintain relationships with stakeholders to keep abreast of current business developments and other issues that may impact the regulatory risk environment



Qualifications & Requirements

  • University graduated in Business Administration, Finance or Accounting
  • 5 years or above working experience in Compliance, preferably in private banking industry
  • Strong risk management experience, problem analysis and judgment, independence, persuasiveness
  • Strong knowledge of HKMA/ SFC regulatory requirements
  • Experienced in internal audit, investment suitability and selling process is preferable
  • Independent, self-motivated, and detail-oriented
  • Strong report writing and communication skills
  • Fluency in spoken and written English and Chinese (both Cantonese and Mandarin)



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