CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Our client is multinational Banking Group with a well-established presence in Asia. As part of business expansion in the Private Banking arm, an outstanding opportunity has arisen for an experienced senior Compliance Advisory professional to join Hong Kong Compliance Team focusing on Private Banking regulatory Compliance.
This role will be reporting directly to Senor compliance management, you will be responsible for PB Compliance Issues and implementing Bank-wide Compliance Frameworks and Regional policy programs as well as Private Bank Business Policy where applicable to the country business model. You will provide compliance supports regarding the design of the sales and trading platform, customer solicitation matters, discharging product suitability obligations, perform risk concentration assessment, notification of material information and risk disclosures. As a senior member of the team, you will perform review on new and existing regulatory requirements, e.g. product suitability obligations, notification of material information and risk disclosures, audio-recording and record keeping requirements, return/hold mail handling requirements, professional investor requirements review. You are also responsible to review and update procedure manuals for Private Banking Department, and ensure the bank is at all times comply with regulatory requirements; and Keep abreast of the new regulatory requirements in financial industries and ensure the bank could follow the best practices.
To qualify, individuals must possess:
University degree and relevant professional qualifications
Minimum 5+ years experience in compliance, regulatory, audit and / or control functions
Strong understanding of the regulatory framework and environment for the Private Banking sector
Familiar with the Asia Private Banking markets and products
Experience in Investment compliance will be ideal
Excellent communications skills with fluency in English
Self-motivated, independent and pleasant personality with good communication skills at all level;
Able to resolve and address issues with minimal supervision
The successful candidate will be offered an excellent salary package and career prospect within a large multinational bank. An excellent opportunity to be part of growing business during a period of corporate integration and strategic business expansion
To apply, please contact Jennifer Yang for a confidential discussion at (852) 3708 9510 or email firstname.lastname@example.org quoting job reference number JY33245. To visit more Legal, Compliance and Risk management jobs please check www.staranise.comn.hk
Data collected will be for recruitment purposes only. Only shortlisted candidates will be contacted. If you have not been contacted within 5 business days of your application, please assume your application has not been shortlisted.