VP, Wealth Management Compliance
Our client has a leading presence internationally and is one of the top leaders within investment banking industry in Hong Kong. Due to sustained growth and expansion plans, they are currently looking for a Senior Vice President to supervise a team of compliance staffs in the Private Banking division.
RESPONSIBILITIES
- Review and comment on a wide range of policies and procedures and new product proposal to ensure these are all compliance with HKMA and SFC's requirements
- Performed compliance review and as well as monitor staff dealings
- Design, develop and implement relevant compliance policies and procedures with relevant Group's policies and regulations to the Private Wealth Management Sales team
- Provide analysis on regulatory impact and trends to the Private Wealth Management business
- Conduct compliance reviews and fraud investigations
- Provide in-depth compliance advisory to senior management
KNOWLEDGE SKILLS AND EXPERIENCE
- Minimum 5 years' relevant compliance working experience, preferably in the private banking side
- Thorough knowledge of banking and other laws and regulations including HKMA, SFC, and others
- Must have solid understanding of PWM products or structured/fund related products
- Strong analytical skills
- Personal authority, integrity and ethics
- Ability to communicate well with business people
- Able to speak fluently in both English and Mandarin; reading and writing Chinese is essential
For more information, please contact Jenny Yeung on 852 2973 6333 or jennyyeung@taylorroot.com.hk
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.
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