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.
Identify the need for, create, establish, update and implement appropriate compliance process, systems and controls in relation to the Bank's business activities;
Formulate compliance review program to identify compliance gaps with a particular focus on compliance with the rules and regulations issued by the Hong Kong Monetary Authority ("HKMA") and Securities and Futures Commission ("SFC") and applicable laws, and recommend necessary changes to procedures to ensure adherence to regulatory and Bank requirements;
Maintain and review compliance policies, procedures & practice to ensure compliance with all applicable laws;
Review and enhance the existing policies and procedures to ensure a robust, current and high quality compliance control program for supporting the Bank's business growth;
Participate in the review and approval process for new business initiatives, and develop compliance program for monitoring new business;
Provide ongoing guidance to business on compliance and regulatory requirements;
Advise, support and report to the Head of Compliance, Private Banking on the identification and changes in the regulatory and compliance environment;
Handle regulatory reporting, inquiries, investigation, inspections, corporate licensing related matters and ad-hoc projects;
Liaise with front office and support functions to evaluate and monitor implementation of control processes;
Handle ad hoc assignments
University degree holder in Law, Business, Finance or related disciplines.
Minimum of 5 years in banking/financial services industry or regulatory bodies in compliance, risk management, or audit.
Good knowledge in private banking operations and well versed with contemporary regulatory requirements, particularly Code of Banking Practice, SFC Code of Conduct, Banking Ordinance, Securities & Futures Ordinance, and HKMA and SFC regulations
Self-motivated, independent with strong communication skills
Professional presentation and report writing skills.
Please apply in strict confidence with full resume, academic record, current and expected salaries. (The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidatee will be destroyed within six months.)