Regulatory Affairs

4 weeks ago


Central And Western District, Hong Kong SAR China Projob21.com Ltd. Full time
Regulatory Affairs & Central Compliance Senior Manager

Oversight Regulatory Affairs & Central ComplianceExcellent job security and work-life balanceOur Client

Searching for Regulatory Central Compliance Senior Manager with one of the most established Global Private Banks with 250+ employees in North Asia Branch and operations in over 20 locations.Job Duties

As part of the core team members to oversight Regulatory Affairs Compliance issuesAssume the subject matter expert on any regulatory changes and facilitate the proper implementation of procedures & policiesProvide active advisory to business and senior management on any regulatory changes and implications to businessCollaborate with internal stakeholders from self-assessment, complaints and external/internal auditManage regulatory survey/reporting; licensing/registration and related enquiries on a timely basisReport to the North Asia Regional Head of Legal CounselKey member of transaction team to provide legal guidance & advisory support to complex structuresAccountable for end to end phases from reviewing, derivatives structuring, legal drafting, negotiation and implementationPerform annual risk assessment to identify key risk areas that need to be monitoredReport to North Asia Head of ComplianceAccountable for HKMA regulatory risk assessmentAs part of the AP Distribution Department to oversight regional KYC/CDD functionAccountable for managing new and periodic CDD/KYC assessment for low to high risk institutional and intermediaries’ clientsConduct PEP, sanctions, adverse news and STR review etc.Report to HK Branch Head of ComplianceTeam head in charge of supervising a team of 5-6 KYC specialistsOversight 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 changesRequirements

Bachelor's degree in Law, Finance, Business, or related field8+ years of regulatory affairs compliance experience in bankingUnderstanding of wealth management business is highly desirableStrong knowledge of HKMA/SFC regulationsExcellent communication and problem-solving skillsAbility to work collaboratively and manage projects effectively

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