GlobalExec, a member of the Hong Kong Institute of Human Resources Management, is one of the most successful and fast growing total human resources solution providers in Asia. We specialize in industries including Banking & Finance, Information Technology, Commerce, FMCG, Retails and Manufacturing...

GlobalExec, a member of the Hong Kong Institute of Human Resources Management, is one of the most successful and fast growing total human resources solution providers in Asia. We specialize in industries including Banking & Finance, Information Technology, Commerce, FMCG, Retails and Manufacturing sectors. Clienteles include major Banks, IT Vendors and Global 1,000 Companies. Our Consultants are all experienced professionals in specialized industries who possess strong business acumen and commercial awareness hence able to deliver our best practice at all time.

Suite 1710-12, Wing On Centre, 111 Connaught Road Central, Hong Kong
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(852) 3551 9300 Fax : (852) 3551 9400
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Website : www.globexec.com

Senior Compliance Manager – Private Wealth Management (HK$55K-$89K) (Ref. No. : 23538)

Job level Senior
Location
Not Specified
Employment type Full Time
Industry Banking
Job function Banking / Finance > Investment & Securities
Banking / Finance > Private Banking / Wealth Management
Legal / Professional Services > Legal & Compliance
Published On 20/09/2019
ref. 23538

Our client, a Financial Institution, is looking for high-caliber person to fill the position.

Responsibilities:-

  • Developing policies and procedures to facilitate compliance with laws, regulations and rules.
  • Monitoring the corporation's compliance with the established policies and procedures particularly on KYC, AML, Product Due Diligence, selling process and suitability.
  • Monitoring individual staff of the department related to complying with regulatory aspect and adheres to company policies and procedures.
  • Reporting on compliance matters to senior management.
  • Provide compliance related advice to ensure the internal team members and senior management related to the business.
  • Handling response on queries from regulators as related to the department.
  • Working with Group Compliance in strengthening internal controls within Private Wealth Management and ensuring the high quality of our overall execution work service.
  • Keeping team members abreast of any updates on Practice Notes, Guidance Notes, Guidelines and any other rules and regulations relevant to the business.
  • Maintaining harmonious working relationship internally and externally.

Requirements:-

  • University degree in business related discipline.
  • Minimum 8 years’ relevant experience in legal or compliance within a financial services organization, preferably in private wealth management sector or regulators.
  • Team player with good time management and organization skills.
  • High proficiency in both written and spoken English and Chinese.