Compliance Manager
7 days ago
Overview Join to apply for the Compliance Manager (6-month contract) role at Pictet Group . The Pictet group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 30 offices in financial centres worldwide, currently employing over 5000 people. Pictet has been present in Hong Kong for more than 25 years where it employs more than 200 people. Your role To provide support and regulatory advice in relation to the Private Wealth Management (PWM) business of Pictet Group in Hong Kong so as to ensure adherence to regulatory requirements, in particular regulatory advisory, compliance monitoring and internal compliance/ethical standards. Assist the Head of Compliance in managing the regulatory risk of Pictet Group in Hong Kong. Assist the Head of Compliance in implementing effective Compliance related monitoring plan, measures and controls in Hong Kong. Ensure that regulatory risks are mitigated through stringent quality control checks (in accordance with Pictet Group and regulatory standards). Identify and escalate internal weaknesses / exceptions / discrepancies to Head of Compliance and other stakeholders in a prompt and properly manner. Propose remedial actions / recommendations within a specific timeframe. Monitor and implement relevant action plans as needed. Provide advice to the business and senior management for all regulatory matters. Keep the senior management and other stakeholders abreast of new and latest regulatory rules, regulations and changes. Assist the team in carrying out other regulatory functions as required by the Head of Compliance. Maintain key internal relationships to foster a positive compliance culture through communications, trainings and to provide employees and Pictet colleagues with timely and pragmatic advice on day-to-day issues. Conduct training to enhance staff’s risk awareness on internal controls and regulatory changes. Your profile Minimum of 5 years’ experience in the legal or compliance function of a bank (preference in private banking or wealth management industry) or solid working experience from the HKMA, SFC or equivalent regulatory bodies Have a good knowledge of HKMA/SFC rules/regulations in Hong Kong Have prior working experience in regulatory advisory and Compliance surveillance Maintain up-to-date knowledge of regulatory requirements and practices IT skills and relevant software proficiency Proficiency in English and Cantonese, Mandarin speaking a plus Organized and attentive to detail Self-motivated and able to work independently Team player and good communicator Able to handle multiple tasks and work to strict deadlines Note We will not accept any CVs via agencies Diversity & Inclusion Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace. Seniority level Mid-Senior level Employment type Full-time Job function Legal Referrals increase your chances of interviewing at Pictet Group by 2x #J-18808-Ljbffr
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