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Director, Wealth Compliance

Employer
Aquis Search, EA Licence No: 16S8125
Location
Hong Kong, Hong Kong
Salary
HK$80k - HK$120k
Closing date
Mar 28, 2024

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Responsibilities
  • Provide practical and accurate compliance advice to foster sustainability and development of the group's brokerage, sales, research and advisory businesses;
  • Oversee day to day monitoring and reporting of compliance risks
  • Conduct periodic and ad hoc review of internal policies and operational procedures in light of evolving regulatory environment;
  • Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements;
  • Liaise and collaborate closely with stakeholders for implementation of compliance related projects;
  • Familiar with AML/KYC rules and regulations to ensure business comply with regulatory requirements with due diligence checks duly performed;
  • Design, develop and execute compliance monitoring program, as well as recommend corrective solutions for any deficiencies identified;
  • Handle regulatory requests, enquiries and examinations in a proper and timely manner;
  • Deliver ongoing internal trainings on compliance matters as and when appropriate;
  • Establish and conduct periodical review on company compliance policies and procedures for the purpose of risk mitigation and regulatory compliance

Requirements
  • University Degree
  • 10 years plus experience in financial services, preferably in private banking, wealth management, brokerage or investment banking industry
  • Fluency in English, Cantonese and Mandarin

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