Job ref no.: CT3131911-01#2801

Compliance Officer/Manager (Tax & Monitoring and Testing)- Private Banking

Asia Progress Executive Limited

Our client is a European Private Banking To cope with the rapid business expansion , they are now inviting high caliber candidates to join the team


Compliance Officer/Manager (Tax & Monitoring and Testing)- Private Banking 




  • Provide advisory on FATCA, CRS/AEOI and US Persons;
  • Support the FCT team in assessment of tax compliance in complicated structures such as Trusts and Funds;
  • Work with Front Office and Business Management to execute the Relationship Manager Inquiry exercise
  • Work with Front Office and various Operations functions to execute the Change in Circumstances process and monitor the status of the case created
  • Perform periodic checks on the client population to ensure compliance with the relevant FATCA, CRS/AEOI and NPA requirements
  • Perform internal classification activities for FATCA and CRS/AEOI
  • Perform quality assurance checks on the FATCA and CRS/AEOI annual reporting
  • Ensure the NPA obligations are met
  • Maintain and update Tax related Directives
  • Support Head Office in implementation of new Tax related requirements
  • Other adhoc requirements

Monitoring and Testing

  • Assist Head of Compliance Monitoring & Testing Hong Kong in the prime responsibility to comply with all relevant policies and procedures, from group guidance and local regulatory perspective to ensure the local office has effective control framework with ongoing review and testing programs in place;
  • Identify and rectify internal breaches/control weakness through ongoing review/monitoring of the control framework from group and local regulatory requirement perspective;
  • Conduct regular reviews and surveillance on Compliance and controls framework, which cover the following and not limited to - investment selling practice (suitability), product due diligence, general compliance, ad-hoc thematic reviews;
  • Prepare documentation to report and escalate any issues and exceptions for managerial review; recommend the mitigation actions where needed;
  • Capture and analyze data and identify trends in assessing regulatory compliance risks and advise stakeholders in developing effective controls
  • Assist in the preparation and submission of compliance/regulatory reports for management, regulators, auditors etc;
  • Assist in audits and inspections, and investigations where required;
  • Involve in special work projects and other Compliance team work matters as and when required



  • Degree Holder in Finance /or equivalent 
  • at 5 - 7 years of relevant experience in monitoring and testing, general compliance, AML/KYC or related control discipline in private banking industry in Hong Kong is preferred; 
  • Keen to learn and perform compliance matters;
  • Good interpersonal communication and writing skills;
  • Able to identify control weakness, and provide recommendation for business action;
  • Motivated and self-driven; able to handle issues and resolve challenges in collaboration with different stakeholders;
  • Team player


Please send full resume with  present & expected   salary to expedite sourcing  in  MS-WORD  format by clicking “ Apply Now
Please quote our reference in your application
Personal data provided by job applicants will be used strictly in accordance with the employer’s personal data policies, a copy of which will be provided upon request
All information provided will be used for recruitment purpose only

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.
More job information
Job ref no. CT3131911-01#2801
Job Function
Employment Term
  • Full-time
  • 5 years
Career Level
  • Middle management level
  • Degree