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Hong Kong Wealth Management Products and Financing Compliance Officer

Employer
Credit Suisse
Location
Hong Kong, Hong Kong
Salary
Competitive
Closing date
Nov 15, 2022

View more

Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.

We Offer
The Wealth Management (WM) Compliance Team sits with APAC Compliance and WM Divisional Compliance. Our primary mandate is to handle compliance matters related to the wealth management business in Hong Kong Branch. Key roles include:
  • Collaborate with key business partners, legal and COO functions to develop outstanding business and compliance practices to assess and to address compliance issues relating to the wealth management products and services
  • Provide guidance on rules and regulations (including regulatory gap analysis) relating to wealth management products and service
  • Assist with thematic product and service regulatory and risk reviews, new business and business change initiatives, internal working groups to align global and regional best-practices and undertake remediation if necessary.
  • Collaborate with location and global coverage teams with regards to regulatory inquiries, surveys, consultations, and examinations from/by the regulators. This may include coordination with various internal partners.
  • Assist to establish and maintain internal compliance and firmwide policy and procedures ensuring consistent application of minimum governance and risk standards.
  • Assist in the administration and development of training in conjunction with the broader compliance team on compliance or regulatory requirements
  • Review and challenge business processes and practices to identify gaps against evolving regulatory best-practice.

Your future colleagues

The team is the WM compliance coverage team for private banking business in Hong Kong, which acts as the key liaison point with business, risk management, legal and other COO functions on PB-related regulatory matters. You will be part of a broader WM compliance team across APAC who are dedicated to working closely together to cultivate a strong team culture.
We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global cultural values.

You Offer

N/A - pending TWWW agreement

Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.

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