- WE are a professional executive search firm specialised in Banking and Finance, on behalf of a French private banking group with excellent credit rating and worlwide relationship networks to look for a compliance Officer in Hong Kong to meet their aggressive expansion programme in the Asia Pacific Region.
Executive Search . Taxation. Accounting ServicesPrimary Functions:
Involved in the compliance process and carrying out regular work as assigned by the Head of Compliance, HK;
Prepare and evaluate regular compliance related activity reports and perform review where necessary;
Assist in the regulatory enquiries, self-assessment/questionnaire and inspection as necessary;
Perform compliance activities such as supporting compliance investigation and compliance risk assessments;
Review and analysis of client complaints;
Identify and control AML risk, implementing monitoring measures where required;
Assisting in the implementation of HKD regulatory requirements as well as internal process that applicable to CIC/CICIS;
Assist in the compliance training;
Responding to ad hoc compliance incidents.
Degree holder in Accounting or related discipline;
Possessed 2-3 years private banking working experience in a similar compliance position; prior experience with the HKMA or SFC is an advantage;
Ability to develop knowledge and understanding of compliance and risk management matters relating to private banking business;
Demonstrated the ability to acquire skills needed to perform compliance roles such as independent engagement with ethical concerns;
Ale to understand compliance enquiries and problems;
Possess good discretion in highly confidential information;
Knowledge of software packages (e.g. MS Office);
Good communication, Team work and interpersonal skills;
Fluency in English, Cantonese and Mandarin.
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