Manager to Senior Manager, Compliance Monitoring- Global Private Bank (up to HK$1.2M base) Manager to Senior Manager, Compliance Monitoring-  …

Aquis Search
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 28 Mar 20
HK$1.2M base
Aquis Search
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 28 Mar 20
HK$1.2M base
A Global Private Bank in Hong Kong is looking for high calibre candidates to be part of their Compliance team covering Compliance Monitoring and Surveillance. You will be one of the more senior member and you will be responsible for the following:

Responsibilities of the role:

  • To designs and implements the bank's monitoring and surveillance program.
  • Assessing the design and operating effectiveness of the program
  • Supervising and conducting monitoring activities as second line of defence across a number of areas such as suitability, cross-border activities, best execution, trade surveillance etc.
  • To provide support to general compliance advisory activity.
  • Responsible for reporting the results of the monitoring to the appropriate management forum for further assessment and action.

Requirement of the role:

  • Bachelor’s Degree in Business or related field.
  • At least 5 years’ of relevant working experience preferably in private banking.
  • Relevant working experience in internal audit  or compliance.
  • Extensive knowledge in local regulations
  • Capable of working independently and in a team environment.

 

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