Regulatory Affairs

7 days ago


hong kong, Hong Kong SAR China Projob21.com Ltd. Full time
Regulatory Affairs & Central Compliance Senior Manager
  • Oversight Regulatory Affairs & Central Compliance
  • Excellent job security and work-life balance
Our 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 issues
  • Assume the subject matter expert on any regulatory changes and facilitate the proper implementation of procedures & policies
  • Provide active advisory to business and senior management on any regulatory changes and implications to business
  • Collaborate with internal stakeholders from self-assessment, complaints and external/internal audit
  • Manage regulatory survey/reporting; licensing/registration and related enquiries on a timely basis
  • Report to the North Asia Regional Head of Legal Counsel
  • Key member of transaction team to provide legal guidance & advisory support to complex structures
  • Accountable for end to end phases from reviewing, derivatives structuring, legal drafting, negotiation and implementation
  • Perform annual risk assessment to identify key risk areas that need to be monitored
  • Report to North Asia Head of Compliance
  • Accountable for HKMA regulatory risk assessment
  • As part of the AP Distribution Department to oversight regional KYC/CDD function
  • Accountable for managing new and periodic CDD/KYC assessment for low to high risk institutional and intermediaries’ clients
  • Conduct PEP, sanctions, adverse news and STR review etc.
  • Report to HK Branch Head of Compliance
  • Team head in charge of supervising a team of 5-6 KYC specialists
  • Oversight 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 changes
Requirements
  • Bachelor's degree in Law, Finance, Business, or related field
  • 8+ years of regulatory affairs compliance experience in banking
  • Understanding of wealth management business is highly desirable
  • Strong knowledge of HKMA/SFC regulations
  • Excellent communication and problem-solving skills
  • Ability to work collaboratively and manage projects effectively
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