VP, Compliance Manager, Investment Suitability - Private Banking
- Up to $180,000
- Permanent, Full time
- PeopleSearch , EA Licence No: 16S8057
- 23 Sep 16
A Global Private Bank is seeking an experienced Risk and Compliance Manager to be a key member of its Compliance and Ethics team. This is a unique opportunity to be a Compliance Adviser to the Business in New Products and Activities. As the bank expands its presence in Asia, you will be the main driver to prevent market misconduct and ensure Investment Suitability. In return, you will enjoy an attractive remuneration of up to $180,000 per Annum.
- Conduct Trade Surveillance and Investment Suitability checks to ensure adherence to current regulations and prevent market misconduct.
- Be a key compliance member of the new products and activities committee to put in place best practices and internal policies.
- Review internal control process, procedures and policies on investment suitability and implement enhancements to ensure that the framework is robust.
- Provide Product advisory to the Relationship Managers and Investment Teams in order to prevent market abuse.
- Ensure that Products and Marketing Material are compliant with up to date regulations and suitable for the targeted market.
- At least 8 years of solid experience in Private Banking Compliance, Business Risk or Operational Risk functions.
- Experience in Investment Suitability, Trade Surveillance and Investment Product Advisory.
- Strong understanding of Private Banking Investment Products.
- Good communication and stakeholder management skills.
If you meet the above requirements strictly, please apply with your updated CV. For clarifications beyond the above information, please write in to PeopleSearch FSG at firstname.lastname@example.org (Reg No. R1103019).
Your information will be treated with the strictest confidence.