Our client is a top-tier boutique private bank that is currently looking for AVP & VP in regulatory compliance (two headcounts).
Our client is a top-tier boutique private bank that is currently looking for VP in regulatory compliance
- Independently manage regulatory reporting
- Perform regulatory monitoring and handle inquiries from regulators (HKMA, SFC)
- Participate in regulatory-driven projects
- Carry out a range of Compliance surveillance and monitoring activities
- Escalate observations in a timely manner and recommend control enhancements
- University graduated in Finance, Business Administration or relevant disciplines.
- At least 7 years of relevant experience in the compliance function of a bank (preference in private banking or wealth management industry) or good working experience at HKMA, SFC or equivalent regulatory bodies
- Familiar with Hong Kong banking regulations (e.g. HKMA, SFC)
- Good understanding of regulatory requirements governing the selling of investment products
- Have a good knowledge of HKMA or SFC rules/regulations in Hong Kong
- Excellent communication skills (Chinese and English) and problem-solving skills