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HEAD OF COMPLIANCE MONITORING AND TESTING (PRIVATE BANKING): 8+ YEARS
Star Anise Limited
June 6, 2018
Report directly to Chief Compliance officer, you will lead a small team of 3-5 people in Monitoring and Testing team. You will provide support and oversight to the Hong Kong Compliance team, handling the day-to-day spectrum of compliance activities for the Hong Kong branch, to ensure that the business operations adhere to the requirements of the regulators (HKMA, SFC), and all relevant compliance-related laws and regulations, as well as internal compliance policies and procedures. You will assist in implementing an efficient control program through ongoing review process, monitoring and surveillance, investigation (including internal disclosures), testing and reporting.
As the senior member in compliance division, you will comply with all relevant policies and procedures, from group guidance & local regulatory perspective, to ensure the local office operation has effective control framework with ongoing reviewing /testing programs in place. You will also identify and rectify control weakness through ongoing review and monitoring of the control framework from group and local regulatory requirement perspective. You will assist in audits and inspections, and investigations where required.
To qualify, individuals must possess:
University degree and relevant professional qualifications
Minimum 8+ years of experience in compliance, regulatory, audit and / or control functions
Strong understanding of the financial crime compliance, testing and control, transaction monitoring and surveillance, regulatory framework and environment for the Private Banking sector
Equipped experience in product Suitability advisory in retail banking, or Wealth management or Private Banking is a must
Excellent communications and presentation skills, ability to interact with regional and global senior stakeholders
Fluency in English and Mandarin (both written & verbal)
A proven capability of building business relationships at all management levels.
Sound influencing skills
To apply, please contact Jennifer Yang for a confidential discussion at +852 3708 9510 quoting job reference number JY.33367. To visit more Legal, Compliance and Risk management jobs please check www.staranise.com.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.