North Asia Regulatory

4 days ago


Hong Kong Island, Hong Kong SAR China Projob21 Ltd. Full time
North Asia Regulatory & Product Compliance Director, Top Ranking European Private Bank
  • Top Ranking Pure Play Swiss Based Private Bank
Our Client

Representing the most sustainable Global Private Bank with established operations in over 20 locations to search for Regulatory & Product Compliance Director.

Job Duties
  • Report to North Asia Head of Compliance and act as the team lead function by supervising 2-3 subordinates for regulatory, product and surveillance functions.
  • Key person for the HKMA and SFC on regulatory matters regarding regulatory notifications, self-assessments, on-site examination, complaints handling and regulatory inquiries.
  • Assume in-house regulatory advisory, general compliance and surveillance functions to Senior Management and line managers across FTB Offices in AP and HQ.
  • Assume part of the senior compliance management function to facilitate the development of internal policies and procedures such as selling process of investment products, client profiling, outsourcing, insurance referrals and other business activities.
  • Provide oversight on product offering including new product approvals, supervision on front-to-end product due diligence, distribution process and marketing materials reviews.
  • Provide compliance advice and recommendations to senior management on potential compliance risks, areas for control enhancements and other regulatory matters.
Requirements
  • Degree holder in Accounting, Business, Legal or related disciplines.
  • 10 years+/- of relevant regulatory & product compliance experience including 3 years from private banking/wealth management or HKMA/SFC regulator.
  • Relevant industry experience in private banking business is highly desirable.
  • Good understanding of HKMA/SFC regulatory requirements.
  • Driven with strong problem-solving capability and communication skills to work with internal stakeholders.
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