Compliance Officer – Private Banking recruitment
Our client is an international bank in Hong Kong
The job:
- Ensure compliance policies / guidelines (HKMA Head Office) are adhered to and well maintained.
- Ensure standard policies are put in place in compliance with statutory requirements
- Prepare management reports and annual.
- Good knowledge on Fixed Income, Derivatives treasury, FX, research, bonds, merger acquisition advisory, equity financing, warrants and stock options, etc. r
- Provide advisory services to the Private Banker to ensure compliance with the requirements of Banking Ordinance, SFO and HKEx trading rules.
- Develop compliance manuals and procedures as well as monitoring program regarding conflict of interest, client suitability, margin fees and employee personal dealing, etc
- Maintain liaison with regulatory bodies (e.g. the HKMA, SFC and HKEx) and handling licensing matters.
- Serve as member of the various product committees to review and validate new products and activities
- Review and approve the marketing materials to ensure their content and the relevant disclosures are appropriate and adequate.
- Manage the regular money laundering monitoring, designing the AML monitoring program and training
- Perform legal review of certain documentation and co-ordinate legal support to the private bankers
The requirements
- 10 years working experience in bank compliance, or with Big 4 serving review of compliance risk issue on bank environments.
- Excellent command of Chinese and English
- Qualified member of a professional body
- Holder of a good degree in business or related discipline.
If you are interested, please send cv in word version indicating your present salary to the attention of Thomson.ng@globalassociates.com cc cv@globalassociates.com.
August 5, 2012
• Tags: Accounting & Finance careers in the Hong Kong SAR, Compliance Officer – Private Banking recruitment • Posted in: Financial