Compliance – Private Bank recruitment
Our client is one of the most prominent Private Banks globally and has a strong vested interest in the Asian markets. They offer state of the art infrastructure, stability in their work force, strategy and commitment into the Asian markets and mobility to their employees. In this position you will be reporting directly to Director of Compliance and working closely with a highly professional team.
As Compliance Specialist (VP) for Private Banking you will be responsible for the following:
- Providing advice on regulatory / compliance issues with respect to the launch, offering, structuring and distribution of the products
- Review and approval of the product and servicing materials including marketing materials , product brochures
- Drafting policies on product compliance, suitability, selling practices, risk disclosures and providing training to the relevant stakeholders
- Providing compliance advice and input on risk and suitability categorization
- Trade surveillance and monitoring
The successful candidate will possess a minimum of 6 years compliance experience working within the banking / securities / financial institutions. Product exposure within private banking is highly desirable. To assume this position you will possess strong analytical skills, ability to think independently, possess exceptional interpersonal skills and the ability to work under pressure. Excellent English communication skills are essential, with Cantonese or Mandarin skills as an advantage.
To apply, please send your resume to Sophia.Lam@ConnectedGroup.com or contact Sophia Lam on +852-3972-5887 for a confidential discussion.