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Private Bank Regulatory Compliance

Selby Jennings
Hong Kong
Posted 4 days ago Flexible Permanent Negotiable
Our client is a top-tier boutique private bank that is currently looking for AVP & VP in regulatory compliance (two headcounts).

Our client is a top-tier boutique private bank that is currently looking for VP in regulatory compliance

Job Responsibilities

  • Independently manage regulatory reporting
  • Perform regulatory monitoring and handle inquiries from regulators (HKMA, SFC)
  • Participate in regulatory-driven projects
  • Carry out a range of Compliance surveillance and monitoring activities
  • Escalate observations in a timely manner and recommend control enhancements

Requirement

  • University graduated in Finance, Business Administration or relevant disciplines.
  • At least 7 years of relevant experience in the compliance function of a bank (preference in private banking or wealth management industry) or good working experience at HKMA, SFC or equivalent regulatory bodies
  • Familiar with Hong Kong banking regulations (e.g. HKMA, SFC)
  • Good understanding of regulatory requirements governing the selling of investment products
  • Have a good knowledge of HKMA or SFC rules/regulations in Hong Kong
  • Excellent communication skills (Chinese and English) and problem-solving skills
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Job ID  PR/363268
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