MNC IB, General Compliance, wealth management, 12 months
The Company
Our client is a prestigious international investment bank who is currently looking for a compliance contractor for initially 12 months with potential of turning permanent. You will report into the head of compliance in HK.
The Role
- perform regular compliance testing to ensure that bank complies with all relevant securities regulations and in-house policies and procedures.
- perform daily and monthly trade surveillance review for wealth management and brokerage business; prepare summary of findings and review reports to Compliance Manager and Head of Compliance, WM, HK.
- review employee accounts for irregularities
- conduct review on suspicious transactions
- draft and update in-house policies and procedures to ensure compliance with relevant regulations
- assist to handle auditors' or examiners' requests for information and deliverables during reviews, audits and examinations
- process staff licensing application and annual renewal of licenses
- record and monitor continuous professional training of licensed staff
- perform annual staff declaration
- assist Head of Compliance, WM, HK to organize internal or external compliance related training programs for all employees
Your Profile
- Degree holder in Economics or related discipline
- Sound knowledge of the SFC regulations
- Minimum 3 years solid Private Banking wealth management compliance experience preferred
- Good understanding of business and operation process
- Able to carry out compliance testing independently with minimal direction
- Able to analyze problems with suggested solutions
- Willing to learn and keep updated of regulatory changes
Apply Today
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
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