Senior Compliance Advisor, Private Banking recruitment
Key Responsibilities:
Provide a pro-active and consultative advisory support to the Private Bank business in Hong Kong:
- to ensure that they establish and monitor appropriate arrangements for meeting up-to-date regulatory obligations and high standards of conduct in their businesses, in accordance with Group compliance standards and local regulatory requirements applicable to the private bank
- to provide compliance training for Private Bank Hong Kong in a focused and consistent manner and in accordance with internal and external regulatory requirements
- to assist in managing regulatory problems arising from complaints, alleged or actual breaches of regulatory requirements or ethical standards in Private Bank Hong Kong, where there is a material risk to the reputation of the Group or its relationship with its regulators, so as to avoid/minimise reputational damage.
- to ensure that products and services offered in Hong Kong (including cross border booking services), comply with local regulation
- tp ensure that risk-based compliance monitoring is conducted at appropriate frequencies in Private Bank Hong Kong in accordance with Group Standards