Compliance Senior Manager
Compliance Senior Manager
A global organisation with offices in HK seeks to recruit a Regulatory Compliance Senior Manager with 8-12 years relevant experience.
Key responsibilities
o Advice and guidance on structuring approaches to emerging regulatory compliance or regulatory exam findings
o Regulatory issue remediation
o Regulatory change management including planning and communication with regulators
o Support ‘mock exam’ reviews, policy development and drafting etc
o Assistance with relationship management between regulators and financial institutions
• Technical skills in multiple areas relevant to banking and capital markets including:
o Institutional / Investment banking compliance – conflicts of interest, information barriers, insider trading, restricted trading / control room processes, market abuse
o Investor protection – private banking / wealth management experience including suitability, sales practices, new product processes, client money
o Compliance Framework – understanding of core compliance functions: risk assessment, policy management, testing, monitoring and surveillance and reporting etc
Requirements:
• Recognized university Bachelor or Masters Degree with 8-12 years experience
• Substantive content knowledge of key Compliance principles applicable to Investment Banking / Capital Markets (public and private side) and Wealth Management / Private Banking gained either in consulting or industry compliance roles
• Ability to develop and implement practical client solutions and execute projects based on this content
• Senior level consulting experience preferred
• Direct experience at HKMA / SFC a plus
• Internal compliance roles from leading global bank
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