Our client is a top-tier, leading International bank a well-established presence in Asia. As part of business expansion in the Retail Banking and Private Wealth Management, an excellent opportunity has arisen for a Compliance professional to join their Compliance Team focusing on Retail Banking and Private Wealth Management regulatory Compliance.
Reporting to Compliance Head and Head of Retail Banking that you will be responsible for the following:
- Participate in pre-trade and post-trade suitability monitoring to ensure actions are taken for potential non-compliant trades as per the Banks internal policy and regulatory requirements,
- Monitor and conduct on quality reviews on Investment Questionnaire, Investment Portfolio Review and Client Contract Reports
- Involve in call monitoring review, escalation of exception cases, follow up rectification and outstanding issues
- Assist in developing the monitoring mechanisms and internal control measures
- Liaise with key stakeholders to launch quality improvement projects and organize staff educational programme to promote the importance of service and sales quality
- To Perform gap analysis with reviewing against the latest guidelines, regulations and works sharing released by the local regulators
- Assist in MIS reporting such as providing statistics and trend analysis relating to investment suitability and call monitoring findings, internal control weaknesses / deficiencies and recommended control plans
- Perform in ad-hoc assignments as required.
- University degree or above in relevant disciplines
- At least 3-5 years of relevant working experience, preferably at local banks and Chinese banks
- Good understanding of the regulatory framework for the private wealth management and retail banking
- Proficiency in both spoken and written English, Cantonese and Mandarin is preferred
- Excellent Fringe Benefits
- Attractive Compensation
- Career Development
To apply online please click the Apply button below. For a confidential discussion about this role please contact Cherry Chan on +852 2848 9514.