Job ref no.: CT3119652-01#2444

Compliance Officer - Private Banking (US investment bank)

Robert Walters

Role Overview: The private banking compliance officer will report to the head of private banking compliance and be responsible for managing the firm's regulatory risk and ensure the firm is in compliance with relevant laws, regulations, rules and internal policies within the region. This is a 12-month renewable contract with a renowned US investment bank.

Key Responsibilities:

  • Ensure compliance with laws, regulations and rules along with firm's policies, procedures and standards with a focus on Hong Kong banking, private banking and securities-related business
  • Maintain compliance documentation including business unit manuals, compliance notices/circulars, rules databases, risk assessments and compliance plans
  • Conduct periodic desk, adviser and client reviews of firm activities
  • Ensure management and staff are properly registered or licensed
  • Monitor for regulatory changes and communicate such to the relevant staff
  • Develop new surveillance reports and systems with IT and respective business units
  • Advise the private wealth management business Unit on all regulatory and compliance matters
  • Handle ad-hoc regulatory inquiries

Key Skills:

  • Approximately 5 years of relevant working experience in the financial services industry in compliance or related fields, such as regulatory change and risk management
  • Wealth management experience is advantageous
  • Excellent verbal and written English communication skills essential, fluency in Asian languages e.g. Mandarin or Cantonese advantageous
  • Strong analytical mind
  • Attention to detail
  • Fast learner
  • Ability to act independently
  • Team player

Company Overview:

This is a renowned US investment bank.

Get in touch

Carmen Chin

+852 2103 5398

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More job information
Job ref no. CT3119652-01#2444
  • N/A
Job Function
Employment Term
  • Contract
  • Full-time
  • 5 years
Career Level
  • Non-management level
  • N/A