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Our client is a reputable bank with a well- established presence in Hong Kong and Mainland China, and your exceptional skills in compliance are needed for their Private Wealth Management. With a streamlined organization this company is set for growth, and here is an exciting opportunity to be a part of a business that continually invest in its employees by providing ongoing training, networking and mobility.
As a direct reporter to the Head of Private Banking Compliance you will serve as a team member under the Private Banking Compliance Department to strength the compliance functions across the Private Banking and Trustee businesses.
Conduct compliance monitoring and trade surveillance on a daily basis to prevent market abuse, misconduct, or suitability issues.
Escalate suspicious transactions to relevant stakeholders with analysis on the findings
Providing compliance advice to business units
Conducting KYC review and approval for all on-boarding and existing customers
Participate in compliance ad hoc projects and trainings
University graduate with a background in Finance, Business, or Law
Minimum of 2 years of compliance experience in banking industry, exposure in Private Banking or Trustee is advantageous
Solid knowledge in banking laws and regulations such as HKMA and SFC
Excellent interpersonal and communication skills
Proficient in both spoken and written Cantonese and English. Mandarin is a plus.
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.