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VP, Head of Compliance Monitoring & Testing - Swiss Private Bank
November 6, 2019
Role: Senior Compliance Officer (Monitoring & Testing), Hong Kong
Sector: CC/ Compliance
Reporting Line: Head of Compliance, Hong Kong
This person provides support 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 Hong Kong Monetary Authority, Securities and Futures Commission and the Swiss Financial Market Supervisory Authority (FINMA), and all relevant compliance-related laws and regulations, as well as internal compliance policies and procedures.
This person will assist in implementing an efficient control program through the ongoing review process, monitoring and surveillance, investigation (including internal disclosures) and reporting.
Assisting Head of Compliance Hong Kong in their prime responsibility to comply with all relevant policies and procedures, from group guidance & local regulatory perspective, to ensure the local office has effective control framework with ongoing reviewing /testing programs in place
Identify and rectify control weakness through ongoing review/monitoring of the control framework from group and local regulatory requirement perspective
Conduct all necessary regular reviews and surveillance on Compliance and controls framework, including but not limited to cross border review, sales process and investment suitability, personal account dealing, outside business interest, complaints, business activities/processes, etc.
Prepare working papers and draft monitoring reports for review; follow up and monitor clearance of issues
Assist the Head of Compliance Hong Kong in handling and liaison with the HKMA;
Assist the Head of Compliance Hong Kong in the preparation and submission of compliance/regulatory reports for management, regulators, auditors, etc;
Assist the Head of Compliance Hong Kong in preparation of material for Compliance training;
Conduct General Compliance and AML training, keep up to date with implementation of new or revised regulations and update bank staff of the same
Assist in audits and inspections, and investigations where required
Involvement in special work projects as and when required
Assist Head of Compliance, Hong Kong and the Compliance team in any other work matters.
Basic bachelor degree;
5 - 7 years of relevant experience in general compliance and financial crime compliance, preferably in a Hong Kong private bank
A keen interest to learn and perform compliance matters;
Good interactive, communication and writing skills;
Able to provide alternative solutions to business;
Motivated and innovative; able to handle issues and resolve challenges in collaboration with colleagues;