Business & Regulatory Risk AVP/Senior Associate, Global Private Bank

1 day ago

Hong Kong Island, Hong Kong SAR China Projob21.com Ltd. Full time

Business & Regulatory Risk AVP/Senior Associate, Global Private Bank Business & Regulatory Risk Management Regional 1.5 Line of Defense Global Private Bank Good Hours and Excellent Job Security Our Client Immediate openings with multiple Global Private Banks to search for Business & Regulatory Risk talents to be part of the North Asia Regional Branch in HK. Job Duties Report to the North Asia Head of Business Risk Accountable for conducting regulatory & thematic business risk assessment including product suitability, cross border, pricing, selling process, transaction review by collaborating with the front office, investment, compliance and audit teams across the region Gatekeeper to ensure fulfilment of HKMA/SFC regulatory requirements Facilitate process improvement; governance framework review and ongoing KRI reporting Contribute to workflow efficiency and automation Bridge between Front office and Compliance/AML team for COB & PR Cases Fully Accountable for CDD/KYC/SOW and Transaction Monitoring to ensure fulfilment of HKMA, MAS and AML/CFT regulatory requirements Assume 2nd LOD to advise FO on any FCC/KYC/EDD related matters for low to high risk clients across the region Assume 1.5 LOD to advise FO on any KYC/EDD related matters for low to high risk clients across the region KYC/SOW Specialists for COB/Periodic Review Case management with full accountability to prepare KYC/SOW to ensure fulfilment of HKMA AML/CFT regulatory requirements Promising APAC Compliance Career & Good Hours Multiple Expansion Contract & Permanent Headcounts Global Private Bank with Excellent Worklife Balance Report to Regional Head of Compliance & Risk Accountable for conducting 1.5 line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with front office, investment, OR & Compliance professionals Gatekeeper to ensure fulfilment of HKMA regulatory requirements Excellent Worklife Balance & Job Security Regulatory Compliance Testing & Control Report to North Asia Head of Compliance Conduct periodic compliance testing & thematic audit to ensure daily activities of HK Branch adhere to the regulatory requirements including HKMA/SFC/MAS and corporate governance Review and oversight the effective implementation of control programs through ongoing review, monitoring and surveillance, investigation and reporting Requirements Degree holder in accounting or related disciplined with 6 years+/- Regulatory Risk Control, Business Risk and Compliance experience earned from int’l private bank Big4 trained is definite advantage Self-motivated team player with excellent analytical, problem solving and stakeholder management capabilities Good understanding of regulatory requirements Highly proficient in MS Office, Excel, PowerBI or Tableau Strong proficiency in English and Mandarin is highly desirable AML/KYC/SOW/Surveillance Exp. with Private Banks Multiple Expansion Headcounts with Int’l Private Banks #J-18808-Ljbffr

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