Regulatory Compliance Senior Manager, Global Private Bank

Regulatory Compliance Senior Manager, Global Private Bank HKMA Regulatory Compliance & Monitoring Supportive and friendly working environment Our Client Appointed by Global Private Bank known for its long term commitment with over 150 years in wealth management and hiring over 2500 professionals worldwide to seek an experienced HKMA Regulatory Compliance veteran. 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 Review and revise policies and procedures to ensure compliance with applicable regulations Provide guidance to senior management on regulatory changes and compliance issues Develop and implement strategies to mitigate risks and ensure fulfilment of regulatory requirements Work closely with other departments to ensure that compliance is integrated into all aspects of the bank's operations Requirements Professional Qualification degree in Law, Finance, Accounting/Business or a related field At least 8 years of experience in regulatory compliance within a private bank, wealth management or Financial Services Group Strong understanding of regulatory and compliance frameworks in the Hong Kong, Greater China and Asia Pacific markets Ability to interpret and apply regulatory requirements in a practical manner Strong communication and interpersonal skills, with the ability to interact effectively with senior management and regulatory bodies Fluency in English is required, additional language skills are a plus Regional 1.5 Line of Defense Global Private Bank Good Hours and Excellent Job Security Job DutiesReport 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 AML/KYC/SOW/Surveillance Exp. with Private Banks Multiple Expansion Headcounts with Int’l Private Banks Job DutiesBridge 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 2 nd LOD to advise FO on any FCC/KYC/EDD related matters for low to high risk clients across the region KYC/SOW Specialists for COB/Periodic Review Multiple Expansion Contract & Permanent Headcounts Global Private Bank with Excellent Worklife Balance Job DutiesBridge between Front office and Compliance/AML team for COB & PR Cases Case management with full accountability to prepare KYC/SOW to ensure fulfilment of HKMA AML/CFT regulatory requirements Assume 1.5 LOD to advise FO on any KYC/EDD related matters for low to high risk clients across the region Promising APAC Compliance Career & Good Hours Job DutiesReport 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 Job DutiesReport 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 #J-18808-Ljbffr