Regional Chief Legal, Compliance & Risk Officer, Private Wealth Management Regional Chief Legal, Compliance & Risk Officer,  …

Captar Partners
in Hong Kong
Permanent, Full time
Last application, 18 Oct 21
HKD1300000 - HKD1500000 per annum
Captar Partners
in Hong Kong
Permanent, Full time
Last application, 18 Oct 21
HKD1300000 - HKD1500000 per annum
As the Regional Chief Legal, Compliance & Risk Officer, you will be responsible for assisting the Firm to ensure compliance of the legal, regulatory and risk management requirements with great worklife balance & work flexiblity given.
  • Regional exposure
  • Worklife Balance with Great Working Culture
  • Great Salary Increment

company overview.
This well-reputed regional firm is looking for seasoned professional to join them as the Regional Chief Legal, Compliance & Risk Officer. You will be directly reporting to the CEO of Hong Kong, responsible for ensuring the firm compliance of the legal, regulatory and risk management. 

job scope.
As the Regional Chief Legal, Compliance & Risk Officer, your key responsibility will be:
  • Develop and oversee policies and controls designed to ensure compliance on regulatory requirements listed by Hong Kong Securities and Futures Commission (SFC).
  • Conduct periodic internal reviews to ensure that compliance procedures are followed.
  • Identify compliance issues that require follow-up or investigation.
  • Develop and set out procedures on filing of relevant regulatory reports
  • Maintain documentation of compliance activities, such as complaints or investigation outcomes
  • Identify, assess, mitigate and control all the risks of the entity.
  • Ensure a safe environment to protect the interests of the bank (assets, data and reputation).
  • In addition to HK regulatory requirements, deploy the Group risk charters and policies
  • Ensure necessary regular reporting to the Group HQ Risk Management and contribute to Group risk management exercises (RCSA, RSA, Risk Cartography, Risk inventory…)
  • Collaborate with corporate counsels and HR departments to monitor enforcement of standards and regulations
  • Identify, assess and advise the Company’s management on possible compliance risks on the Company’s business activities
  • Review the work of colleagues when necessary to identify compliance issues and provide advice or training
  • Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.
  • Provide employee training on compliance related topics, policies, or procedures.
  • Prepare reports for senior management and external regulatory bodies as appropriate.

requirements.
  • Bachelor degree in Accounting/ Economics/ Finance/ Law
  • Minimum 12 years professional experience in financial services
  • Proven record in private wealth management industry
  • Strong experience in risk management and compliance in financial services
  • Result driven and solution oriented
  • Proven leadership and management skills
  • Able to plan, anticipate and allocate resources in an efficient way
  • Knowledge and management of regulations applicable to banking activities and financial services in Asia
  • Fluent in English and Mandarin

If you're interested in this role, please click 'apply now'. Alternatively, for a confidential discussion on this role or to find out more opportunities in Risk & Compliance, please contact Cathleen Chen at +852 3653 5247 or via cchen@captarpartners.com
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