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- Support in implementing policies and procedures as a result of changes in Head Office directive or local laws and regulations and updating such rules and regulations relevant to Wealth Management Financial Security.
- Carry out Financial Security related second level control programme. To identify and control compliance risks/exceptions, implementing monitoring measures and remediation plan where required with relevant stakeholders.
- Assist in preparing relevant compliance reports/risk assessments pertaining to Wealth Management Financial Security topics for submission to Head Office/local stakeholders and ensuring the accomplishment of the Department's mission.
- Drive or participate in financial security related projects from Compliance perspective.
- Assist in coordination of audit and regulatory inspection, as well as investigation related to financial security from Compliance perspective.
- Provide training on Compliance issues and promote compliance awareness and culture.
- Ensure compliance with applicable laws and regulations. Keep abreast on new regulations and to update Management and staff on changes in regulations
- Advise Business and Functions on compliance and regulatory issues.
- Carry out the client acceptance and review process and to ensure that compliance especially with issues like money laundering, due diligence on clients, know-your client process, sanctions, transaction monitoring.
- A graduate of a tertiary institution.
- At least 3-4 years' experience in Compliance or Control Function is preferred.
- Familiar with Hong Kong laws and regulations.
- A good knowledge of compliance framework with experience in performing Compliance testing or audit background is an advantage.
- Have strong communication skills and excellent English.
- Work well with people and under pressure, good team player.
- Strong Excel skills
- Must have evidence of attention to detail and have an investigative and questioning nature.
About Our Client
Our client is a prestigious international bank with a long history of providing corporate banking solutions to businesses and to large local companies, financial institutions and multinationals. We look for talented, tenacious individuals who are hungry to progress and eager to grow their knowledge.
Values and Diversity
Dynamic working gives everyone at our client the opportunity to integrate professional and personal lives, if you have a need for flexibility then please discuss this with the hiring manager. They are an equal opportunity employer and are opposed to discrimination on any grounds. It is the policy of our client to ensure equal employment opportunity without discrimination or harassment on the basis of race, colour, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information, or any other basis protected by law.
Internal Number: 6536268
About Resource Solutions
eFinancialCareers is a career site specializing in financial services.