Job opening - Assistant Compliance Manager, Private Wealth Management in Hong Kong | Randstad Hong Kong

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summary

hong kong
randstad hong kong
HK$28,000 - HK$40,000 per month
permanent
full-time

specialism
banking & financial services
sub specialism
compliance, risk & governance
reference number
91M0220321_8866714141769381368

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job details

about the company.

Our client is a renowned brokerage company listed in the US, offering a comprehensive range of investment services. Their business encompasses trading and clearing services, margin financing and securities lending, as well as wealth management solutions.

about the team. ...

The organisation boasts a strong compliance culture and is comprised of highly skilled team members of exceptional caliber.

about the job.

Provide advice and support for business initiatives pertaining to regulatory compliance issues in the field of private wealth management products and services.
Update regulatory changes and ensure policies and procedures are kept current.
Manage AML compliance matters, including monitoring and trade surveillance activities.
Handle regulatory reporting and inquiries, maintaining effective communication with relevant exchanges and regulators.
Develop, manage, and execute compliance testing protocols specifically designed for private wealth management businesses.
Conduct internal and external audits, inspections, and investigations conducted by auditors, exchanges, and regulators.
Conduct regular training sessions for licensed representatives and support teams operating in the private wealth management sector.
Provide assistance in ad hoc projects as required.

skills & experiences required.

Bachelor degree in Law, Accountancy, Finance, or a related discipline.
2-5 years of relevant work experience in wealth management, private banking, investment banking, financial institutions, or reputable audit/law firms.
Strong understanding of SFC Code of Conducts, AML laws and regulations, and other pertinent regulatory requirements.
Knowledge of private wealth management investment products and their operational dynamics.
Professional qualifications in AML, such as ACAMS or AAMLP (preferred).
Ideally, possess project management experience in implementing new rules, products, or business initiatives.
Good communication skills in both Chinese and English, with proficiency in Mandarin being advantageous.

how to apply.

To Apply online, please click on the link below. Alternatively, for a confidential discussion please contact Zoe Liu on +852 6763 1467 or email zoe.liu@randstad.com.hk

show more

about the company.

Our client is a renowned brokerage company listed in the US, offering a comprehensive range of investment services. Their business encompasses trading and clearing services, margin financing and securities lending, as well as wealth management solutions.

about the team.

The organisation boasts a strong compliance culture and is comprised of highly skilled team members of exceptional caliber.

about the job.

Provide advice and support for business initiatives pertaining to regulatory compliance issues in the field of private wealth management products and services.
Update regulatory changes and ensure policies and procedures are kept current.
Manage AML compliance matters, including monitoring and trade surveillance activities.
Handle regulatory reporting and inquiries, maintaining effective communication with relevant exchanges and regulators.
Develop, manage, and execute compliance testing protocols specifically designed for private wealth management businesses.
Conduct internal and external audits, inspections, and investigations conducted by auditors, exchanges, and regulators.
Conduct regular training sessions for licensed representatives and support teams operating in the private wealth management sector.
Provide assistance in ad hoc projects as required.

...

skills & experiences required.

Bachelor degree in Law, Accountancy, Finance, or a related discipline.
2-5 years of relevant work experience in wealth management, private banking, investment banking, financial institutions, or reputable audit/law firms.
Strong understanding of SFC Code of Conducts, AML laws and regulations, and other pertinent regulatory requirements.
Knowledge of private wealth management investment products and their operational dynamics.
Professional qualifications in AML, such as ACAMS or AAMLP (preferred).
Ideally, possess project management experience in implementing new rules, products, or business initiatives.
Good communication skills in both Chinese and English, with proficiency in Mandarin being advantageous.

how to apply.

To Apply online, please click on the link below. Alternatively, for a confidential discussion please contact Zoe Liu on +852 6763 1467 or email zoe.liu@randstad.com.hk

show more

key responsibilities
Provide advice and support for business initiatives pertaining to regulatory compliance issues in the field of private wealth management products and services.
Update regulatory changes and ensure policies and procedures are kept current.
Manage AML compliance matters, including monitoring and trade surveillance activities.
experience
3 years
skills
Compliance, Private Wealth, Regulatory Compliance, Audit, Compliance Advisory, Compliance Testing, Compliance Monitoring
qualifications
Bachelor degree in Law, Accountancy, Finance, or a related discipline.
2-5 years of relevant work experience in Financial Institution
Keen to develop your career in compliance
Good Communication
education
Bachelor Degree

apply with randstad.
Applying with us is easy. We will review your application and see if you are a good fit for the job and the company.
we’ll give you a call.
Our consultant will call you to discuss your application and further career aspirations if you're suitable for a role.
getting you registered.
If you’ve never worked with us before, we’ll need some basic additional pieces of information to confirm your eligibility to work in Hong Kong SAR.
compliance check.
Next, we just need to verify a few things - we’ll make the relevant compliance checks and keep you posted.
reference and background check.
As part of the process in ensuring you’re perfect for the role, we’ll make contact with any relevant references you’ve provided.
the perfect job for you.
Our expert team will either arrange an interview for the role you’ve applied for, or if they believe there’s a better opportunity, they’ll suggest alternative options too.
the interview.
If a job which you have applied for requires an interview, we will ensure you are fully prepared and know exactly what to expect - good luck!
start your new job.
Congratulations, you’re ready to begin your new job. The team will ensure that you’re fully prepared for your first day.

ZL

zoe liu

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