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Regulatory Compliance Director (Boutique Private Bank)

Employer
PERSOLKELLY Hong Kong Limited, EA Licence No: 68637
Location
Hong Kong, Hong Kong
Salary
HK$90k - HK$110k
Closing date
Oct 8, 2022

View more

Job Function
Wealth Management
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Regulatory Compliance Director (Boutique Private Bank)

PERSOLKELLY's Snapshot

Our client is a boutique private bank that is currently looking for Director in SFC regulatory compliance

Company Profile

Our client is European boutique private bank with a strong Asia focus. We offer good career prospects, stable working environment and competitive salary package.

Exciting new role for you
  • Independently manage regulatory reporting
  • Manage the Risk and Compliance framework.
  • Perform gap analysis, recommendations and reports.
  • Perform regulatory monitoring and handle inquiries from regulators, mainly SFC
  • Lead regulatory-driven projects
  • Carry out a range of Compliance surveillance and monitoring activities
  • Escalate observations in a timely manner and recommend control enhancements
  • Present to senior stakeholders.


Requirements
  • University graduated in Finance, Business Administration or relevant disciplines.
  • 8 - 10 years of relevant experience in the compliance regulatory function.
  • Candidate with Big 4 experience along with Banks (preference in private banking or wealth management industry).
  • Strong knowledge of Risk & Compliance framework, gap analysis.
  • Strong SFC regulatory knowledge
  • Good understanding of regulatory requirements governing the selling of investment products
  • Excellent communication skills (Chinese and English) and problem-solving skills
  • Stakeholder management experience.


Rewards

This is a great opportunity to join a well-established organization. You will be responsible for creating true value in the organization and be rewarded competitively.

Please send your resume in word format to Sonal Gupta via email sonal_gupta@persolkelly.com and give her a call at +852 9853 2527 for a confidential discussion about this role and other exciting opportunities.

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