- International Private Bank
- Focus on Licensing
Our client is an international private bank. With the continued growth of the organization, the need has arisen to recruit a high caliber candidate to join them.
COMPLIANCE MANAGER / OFFICER
jobsDB Ref. JHK100003004781912
Employer Ref. jdb-4003
Analysis and advise on corporate and individual licensing requirement. Deal with internal and regulatory enquiries. Perform self-assessment or gap analysis on the relevant regulatory requirement and provide recommendation on possible rectification actions. Maintain a register of licensed/ accredited individuals and implement appropriate checks and monitor to ensure that all individuals performing regulated activities are appropriately. Ensure all licensed and accredited individuals that are aware of the scope of their license and respective permitted and prohibited activities and obligation and provide training as appropriate. Review and maintain the registration manual and procedures. Participate in ad-hoc projects as assigned.
To be considered, you should be a degree holder with a minimum of 3 years of relevant working experience at compliance department in finance industry preferably in wealth management or Private Banking business. Knowledge of relevant codes/ regulations/ guidelines of the HKMA and SFC. Excellent command of both written and spoken English and Chinese. Flexibility, attention to details, strong organization skills, and ability to work independently under tight timelines. Team player.
Interested applicants should send a detailed resume to Kelly Kam quoting reference jdb-4003 via email. Please click “APPLY NOW” button below
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)