Compliance Officer/ Senior Compliance Officer
The Company
Swiss private bank and asset management company with international presence.
The Role
You will be responsible for:
- drafting and implementing compliance policies and procedures in accordance with HK legal and regulatory requirements.
- conducting KYC and AML transaction monitoring in respect of private banking clients
- managing licence applications to SFC and/or HKMA.
- setting up and monitoring investment suitability framework for private banking clients
- performing compliance checking and review / monitor investment restrictions in respect of funds under management
- assisting in reviewing of marketing materials, legal documents and due diligence questionnaires
- updating local management in respect of developments in HK regulatory developments
- liaise with regulators, auditors and external legal counsel.
Your Profile
You will hold a university degree in a relevant discipline, preferably Accountancy, Banking/Finance or Law. You will have 5-10 years of relevant experience in a compliance role in Private Banking and/or Institutional Asset Management. You will have
good knowledge and understanding of local and regional rules and regulations for banking and securities industry, especially the regulations, codes and guidelines of SFC and HKMA. You will also be comfortable in working independently in a smaller set-up to innovate and build the compliance function to enable business development.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.