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.
- 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
- 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 firstname.lastname@example.org or call me at (852) 2520 0103 for more details.