Head of Hong Kong Compliance recruitment
- Investment Management/Private Banking
- Knowledge of SFC and HKMA
Our client is known globally as a Financial Institution that is backed by sound investment strategies, a strong balance sheet and the ability to succeed in challenging economic conditions.
Reporting to the APAC Head of Compliance, you will manage the Hong Kong Compliance function including a team of well trained professionals. You will
- Work closely with regulators SFC and HKMA, relationship managers and investment professionals
- Provide supervisory oversight over the execution and documentation of reviews conducted by them
- Drafting, implementing and managing compliance related policies practices, involvement in strategic initiatives, new products, etc
- Designing, documenting and implementing effective and efficient procedures and protocols for the Hong Kong Compliance team including ensuring that the compliance monitoring programme as well as approvals are executed on a timely basis and basis for decisions documented appropriately
- Participating in global and/or regional projects within Compliance, work with other regional Compliance colleagues to ensure consistency in approach, policies and procedures
The Successful Applicant
The successful applicant will have:
- 12+ years of Compliance/Audit/Risk experience in a Financial Institution (Private Banking or Wealth Management) and a strong working relationship with the SFC Regulations
- Excellent understanding and applicability of rules and regulations related to investment management/private banking products and operations; background in structure products is highly desirable
- Strong analytical skills and ability to solve problems
- Sound interpersonal, oral and written communication skills
- The able to demonstrate commercial sense and initiative, solution orientation, accountability
- Fluency in Cantonese and English is essential
December 30, 2008
• Tags: Head of Hong Kong Compliance recruitment, Private Banking, Wealth Management careers in the Hong Kong SAR • Posted in: Financial