VP, PRIVATE BANKING COMPLIANCE recruitment
Reporting to the Head of Compliance in Hong Kong, you will be responsible for providing compliance advice with regard to private wealth management on internal compliance standards, policies and procedures in respect of suitability, cross-border matters, etc. Track all relevant meetings, surveys and reviews with regulators as it pertains to the PWM business, assess all new alerts, circulars and other regulatory notifications to ensure that relevant documents are being provided on a timely basis. Participate in regional and/or global compliance group meetings that determine strategies and priorities for Compliance. Develop relationships with the relevant Infrastructure functions that support the PWM business, provide ad hoc training on relevant procedures that impact the business. Liaise with Legal and other Risk functions in responding to SFC, HKMA and other regulatory enquiries. Review and provide Compliance approval for marketing materials for the PWM business. Assist in any ad hoc projects as required.
To be considered, you should be a University graduate with a minimum of 8 years Compliance experience within a financial institution, regulator or similar environment. Private banking experience is highly preferred. Sound knowledge of private banking laws and regulations, directives and regulatory expectations. Proven analytical skills, ability to work under pressure and within tight deadlines. Strong interpersonal and communication skills. Excellent command in both written and spoken English and Chinese.
Interested applicants should send a detailed resume to Marietta Leung by email to mleung@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC1876.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)