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Compliance Monitoring Vp, Global Bank

Hong Kong, Hong Kong
Last update 2024-07-17
Expires 2024-07-17
ID #2223600590
Compliance Monitoring Vp, Global Bank
Hong Kong, Hong Kong,
Modified July 4, 2024


Worklife Balance & Excellent Job Security Our Client European Based Wealth Management Banking Group, hiring over 550 employees in APAC region and total AUM USD of 195 Billion+ is in search for Compliance Monitoring Veteran of VP Level for Greater China region. Job Duties Perform annual risk assessment to identify key risk areas that need to be monitored. Report to North Asia Head of Compliance Accountable for HKMA regulatory risk assessment Conduct periodic and thematic compliance monitoring & testing that called for extensive liaison with LOB from front to back office Track for timely resolution of audit/inspection/external review findings that are owned by Compliance Report status of resolution to Head of Compliance, Senior Management and relevant committees. Identify regulatory risk related issues and identify appropriate key control measures Facilitate the implementation of regional & global compliance & risk control governance  Requirements Professional Qualification degree in Accounting/Finance or a related field. At least 8 years of experience in HKMA regulatory, compliance monitoring & risk control experience with int’l banks. Strong understanding of HKMA regulatory requirements Knowledge of wealth management is a definite advantage Ability to interpret and apply regulatory requirements in a practical manner. Strong communication and interpersonal skills, with the ability to interact effectively with LOB, senior management and regulatory bodies. Fluency in English is required, additional language skills are a plus. Friendly International Culture & Good Hours Job Duties As part of the AP Distribution Department to oversight regional KYC/CDD function  Accountable for managing new and periodic CDD/KYC assessment for low to high risk institutional and intermediaries’ clients Conduct PEP, sanctions, adverse news and STR review etc. Job Duties Report to HK Branch Head of Compliance Team head in charge of supervising a team of 5-6 KYC specialists Oversight KYC/CDD to ensure the fulfilment of HKMA regulatory requirements related to AML, CFT, sanctions and other financial crimes. Timely review of KYC/AML control and related procedures to conducting gap analysis with any regulatory/governance changes In-House Paralegal Opportunity w/Global Bank Job Duties Report to Litgation Lawyer and faciliate commercial litigation, investigation and complaint cases Accountable for conducting legal resarch and consolidation of related document Assist in investigation process that called for extensive liaison with internal stakeholders from front to back office and external counsels Support general advisory matters related to account opening, data access and any regulatory related aspects Supportive and friendly working environment Job Duties Manage regulatory related investigation, self-assessments and on-site examination Oversight staff licensing & related enquiries from regulators Support regulatory advisory, general compliance and related enquiries that called for extensive liaison with Senior Management, line managers across FTB Offices and Headquarter

Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: Compliance monitoring vp, global bank

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