Compliance Manager, Private Bank Monitoring and Surveillance Compliance Manager, Private Bank Monitoring and Surveillance This range is provided by Larson Maddox. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range HK$1,000,000.00/yr - HK$1,000,000.00/yr Direct message the job poster from Larson Maddox Assistant Vice President - Legal and Compliance Recruitment Position Overview: We are seeking a proactive and experienced Compliance Manager to join our Monitoring & Surveillance team in Hong Kong, supporting the Private Banking business. This role will work closely with the CIB Surveillance & Monitoring function, while focusing on surveillance activities specific to wealth management products and services. The successful candidate will play a key role in ensuring compliance with SFC, HKMA, MAS, and other APAC regulatory requirements. Key Responsibilities: Develop and execute surveillance and monitoring programs tailored to private banking activities, ensuring alignment with regulatory expectations across Hong Kong (SFC, HKMA), Singapore (MAS), and other APAC jurisdictions. Conduct daily and thematic reviews of client transactions and advisory activities across a broad range of wealth management products, including structured products, FX, discretionary portfolios, and alternative investments. Identify and escalate potential misconduct, market abuse, or breaches of internal policies and regulatory obligations. Collaborate with the CIB Surveillance team to ensure consistency in surveillance methodologies and leverage cross-business intelligence. Work closely with front office, legal, and risk teams to address surveillance findings and enhance control frameworks. Support regulatory inspections, internal audits, and investigations related to private banking conduct and product governance. Contribute to the enhancement of surveillance tools and data analytics capabilities to improve detection and efficiency. Monitor and interpret regulatory developments across APAC, including updates to MAS's Financial Institutions (Miscellaneous Amendments) Act, SFC's conduct requirements, and HKMA's suitability and product governance standards 1. Qualifications & Experience: Bachelor's degree in Law, Finance, Business, or a related discipline; relevant certifications (e.g., CAMS, CFA, ICA) are advantageous. Working experience in compliance, surveillance, or audit within private banking or wealth management, preferably in APAC. Strong knowledge of SFC, HKMA, and MAS regulatory frameworks, including conduct requirements, suitability obligations, and product governance. Familiarity with surveillance systems and data analytics tools is a plus. Excellent analytical, communication, and stakeholder engagement skills. Ability to work independently and collaboratively in a dynamic, fast-paced environment. Seniority level Seniority level Mid-Senior level Employment type Employment type Full-time Job function Job function Finance Referrals increase your chances of interviewing at Larson Maddox by 2x Sign in to set job alerts for “Compliance Manager” roles. Central & Western District, Hong Kong SAR 1 week ago HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSIONCompliance Manager – Fintech Company – HKD$50k – 70k Assistant Manager/ Manager – Regulatory & Compliance Hong Kong, Hong Kong SAR $36,000.00-$70,000.00 1 week ago(Assistant / Deputy) Compliance Manager (Compliance Review)Wan Chai District, Hong Kong SAR 2 days ago Manager, Regulatory Compliance (Advisory Focus)Assistant Vice President or Vice President, Compliance Compliance Manager, Anti-Money Laundering Compliance Governance Manager/Associate, HKManager, Regulatory Compliance (SFC/Insurance Focus)We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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