VP Compliance recruitment
Key Responsibilities:
*Provide compliance advice and support to the Private Banking and Institutional Asset Management business lines.
*Draft and implement compliance policies and procedures in accordance with HK legal and regulatory requirements.
*Conduct KYC and AML transaction monitoring in respect of private banking clients
*Manage licence applications to SFC and/or HKMA.
*Set up and monitor investment suitability framework for private banking clients.
*Perform compliance checking and review / monitor investment restrictions in respect of funds under management.
*Assist in reviewing of marketing materials, legal documents and due diligence questionnaires.
*Update local management, Private Banking regional headquarters (Sing) and Group Compliance (Europe) in respect of developments in HK regulatory developments.
*Liaise with regulators, auditors and external legal counsel
Requirements:
*A university degree in a relevant discipline, preferably Accountancy, Banking/Finance or Law.
*5-10 years of relevant experience in a compliance role in Private Banking and Institutional Asset Management
*Good knowledge and understanding of local and regional rules and regulations for banking and securities industry, especially the regulations, codes and guidelines of SFC and HKMA.
*An analytical mindset and interpersonal skills in interacting with the business lines, senior management, Group and regulators.
*Comfortable working independently in a smaller set-up to innovate and build the compliance function to enable business development.
*Good command of spoken and written English and Chinese.
Please do not get in touch unless you have eligibility to work in HK and are experienced in dealing with the local HK regulators.