Internal Control & Compliance, Wealth Management (Banking) Internal Control & Compliance, Wealth Management  …

Levin Human Resources Services Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 07 Apr 20
open, very good bonus & benefits
Levin Human Resources Services Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 07 Apr 20
open, very good bonus & benefits
We are assisting our client, a Top 10 Listed PRC Bank, Top 25 World Banks and Fortune Global 500 Co. to invite calibers for the below post.

Responsibilities:

  • Assist in formulating internal compliance policies, guidelines and procedures for wealth management departments to ensure that their operations comply with relevant laws, regulations and regulatory requirements.
  • Ensure the key process measures such as AML / CFT are strictly implemented for each department's business processes, such as account opening, remittance, etc., conduct in-process inspections and post-event supervision
  • Assist in reviewing existing compliance policies and procedures and proposing adaptive updates
  • Design and review various documents related to the development of wealth management business in accordance with relevant laws and regulations and regulatory requirements
  • Communicate and cooperate closely with relevant departments such as compliance, operations, IT to ensure the correct understanding and implementation of existing policies and procedures.
  • Assist in responding to customer complaints and follow up on the handling plan

Requirements:

  • University Degree with 5+ years’ experience in financial institution compliance, internal control management or internal audit
  • Good comprehensive understanding of local laws, regulations, rules and guidelines in the financial industry, such as Banking Ordinance, HKMA Supervisory Policy Manual, AML & CFT related regulations, etc.
  • Familiar with banking and investment products with relevant industry practice experience in banking retail, wealth management business or regulated business
  • Strong analytical, problem solving and practical judgment
  • Good command of written and spoken English and Chinese (incl. Putonghua)

Interested parties, please send your CV to Levin Human Capital Consulting Group at winsome.choi@levin.hk or call me at (852) 2520 0103 for more details.

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