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ProJOB21 is a home grown recruitment firm established in 2000, and since then we are proud to be partnering with the most reputable clients from fortune 500 companies including luxury retail and notable consumer brands, as well as high profile private banks & asset management; private equity & CIBM. Our business philosophy is rooted in the concept of Integrity, Pragmatism, and Caring to our candidates and clients, our team, and our local community.

ProJOB21 is a home grown recruitment firm established in 2000, and since then we are proud to be partnering with the most reputable clients from fortune 500 companies including luxury retail and notable consumer brands, as well as high profile private banks & asset management; private equity &...

ProJOB21 is a home grown recruitment firm established in 2000, and since then we are proud to be partnering with the most reputable clients from fortune 500 companies including luxury retail and notable consumer brands, as well as high profile private banks & asset management; private equity & CIBM. Our business philosophy is rooted in the concept of Integrity, Pragmatism, and Caring to our candidates and clients, our team, and our local community.

Investment Trade Surveillance Associate Director - Swiss Private Bank

Job level Senior
Work exp Minimum 8 Years
Location
Within Hong Kong Hong Kong
Employment type Permanent
Industry Banking
Job function Banking / Finance > Legal / Compliance
Banking / Finance > Private Banking / Wealth Management
Banking / Finance > Risk Management
Published On 15/06/2018 2018-06-15
ref. BFIN1506_ITS_JL
  • Swiss Based Private Bank
  • Regional Compliance Function
  • Expansion Investment Surveillance Headcount

 Job Description:

As part of Regional Compliance Department, the successful job holder will be accountable for

  • Conducting investment trade surveillance & monitoring
  • Ensuring product and selling suitability in accordance to regulatory requirements
  • Reviewing/implementing effective compliance control procedures to cater for the regulatory changes
  • Providing compliance consultation to any new product/business initiatives by working closely with senior management, front to back office professionals
  • Facilitating regional/global projects
  • Experienced candidates will be given people management accountability

 Requirements:

  • Graduate with 8years+/-investment trade surveillance and transaction monitoring Compliance experience earned from int’l banks
  • Prior experience working with wealth management or private bank is highly desirable
  • General understanding of multi-asset classes of investment product knowledge
  • Knowledge of HKMA and SFC regulatory knowledge is a definite advantage
  • Strong influencing & problem solving skill with sound analytical & investigation mindset
  • Ability to work in a multi-cultural environment
  • Project management experience is highly desirable

Interested candidates, please email your update resume (in MS WORD format) with current and expected salary to resume@projob21.com

Also come visit www.ProJob21.com to discover other exciting career opportunities!

All information received will be kept in strict confidence and used for employment-related purposes only.