• elysianes

Senior Compliance Manager ( Private Banking )


Top-tier with private bank is seeking for its compliance department.


Responsibilities:

  • Assist in contact with local regulators - e.g., coordinate regulators response to regulatory inspections, maintain reporting obligations, and resolve inquiries;

  • Assist legal, compliance, and reputation risk management;

  • Assist to track key regulatory changes and ensure relevant business divisions are notified;

  • Liaise with the compliance function at other business divisions;

  • Provide compliance input to the business Advise the business on policies affecting local products and initiatives;

  • Assist the business in drafting policies and procedures, compliance manuals, and core control documents that meet local regulatory requirements;

  • Update / continuously improve compliance documents to ensure they reflect current regulation, industry best-practice, and changes in business structure and activities;

  • Conduct training for staff in Hong Kong in accordance with local regulation and quarterly training objectives;

  • Participate in compliance risk assessments, reviews and testing;

  • Provide meaningful contribution to ad-hoc projects, compliance team initiatives, practice groups.


Requirements:

  • Degree or above with major in Law, Banking and Finance, Accounting or related disciplines and professional qualifications;

  • At least 6 years' experience in compliance, legal or regulatory fields of financial services industry gained in Hong Kong regulatory requirements;

  • Possess Accounting, Legal, or Financial qualifications;

  • Extensive knowledge of Hong Kong regulatory requirements with strong understanding of the Listing Rules and Banking Ordinance;

  • Good interpersonal, managerial, communication skills and cultural awareness;

  • Effective time and project management skills;

  • Heightened sensitivity to and refined judgment in identifying and assessing concealed risks and collateral consequences of activities in jurisdictions having opaque and emerging legal and regulatory regimes;

  • Excellent command of written and spoken English and Chinese. Fluent in Mandarin is an advantage.


Our client provides attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to eva.ho@elysianes.com