Compliance Manager in Product Advisory, Private Banking recruitment

Our Client is an International Banking Group

Responsibilities

To promote the culture and practice of compliance on regulatory requirements and ethical standards in the conduct of business
Help ensure that products and services, covering new product issuances and existing product reviews with the Bank’s internal requirements and local regulations
Provide a pro-active advice to staff in Private Bank in Hong Kong on compliance related matters
The implementation of compliance policies and procedures.
Conduct compliance training to staff of Private Bank to promote staff awareness on internal and external regulatory requirements.
Liaise with the regulator on routine compliance matters and other day-to-day enquiries.
To assist in monitoring of closures of compliance issues identified by internal and external reviews such as Internal Audit, the local regulator and the Head Office regulator.
Private Bank Business Policy where applicable to the country business model.
Take on projects/ tasks relating to regulatory/ compliance requirements as requested by Regional Office

Requirements:

University gradate with at least 8 years of overall working experience with solid compliance experience in banking and investment products
Expereince in Consumer Banking with Products Advisory is also considered
Familiar with private banking environment and practices in Hong Kong
Knowledge of recent regulatory changes, wealth management products, marketing materials review, licensing and registration, KYC and product suitability.
Good knowledge of Hong Kong securities and banking rules and regulations
Strong sense of team work and be ready to take up challenging responsibilities
Good communication and interpersonal skills
Ability to work under pressure in meeting deadlines
Fluency in English, Mandarin and Cantonese

Please send your CV to Ms. Jackie Wong: jackie.wong@globalassociates.com and cc to cv@globalassociates.com

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