compliance analyst, private banking in Hong Kong

posted
contact
shirley shao, randstad hong kong
job type
contract
apply now

job details

posted
location
hong kong
specialism
banking & financial services
job type
contract
working hours
Full-Time
reference number
91M0129838_1548432264
contact
shirley shao, randstad hong kong
apply now

job description

Our client, one of the largest investment banks in the world, is looking for talented person to join their legal and compliance team.

Responsibilities:

  • Ensure compliance with laws, regulations and rules and the Firm’s policies, procedures and standards, with a focus on Hong Kong banking, private banking and securities-related business.
  • Primary responsibilities include: Maintain Compliance documentation including business unit manuals, Compliance Notices, rules databases, risk assessments and Compliance plans
  • Conduct periodic desk, adviser and client reviews of Firm activities
  • Ensure management and staff are properly registered or licensed
  • Monitor for regulatory changes and communicate such to the relevant staff
  • Develop new surveillance reports and systems with IT and respective business units
  • Advise the Private Wealth Management Business Unit on all regulatory and Firm Compliance matters
  • Deal with ad-hoc regulatory inquiries

Requirements

  • Minimum 4- 5 years of relevant working experience in the financial services industry in Compliance or related fields
  • Wealth management experience
  • Excellent verbal and written English communication skills essential, fluency in Asian languages e.g. Mandarin or Cantonese advantageous
  • Analytical with good problem-solving skills. Strong organisational skills.
  • Excellent organization & planning skills

To apply online, please click on the appropriate link. Alternatively for a confidential discussion, please contact Shirley Shao on +852 2232 3414, or email shirley.shao@randstad.com.hk. Due to the high volume of applicants, only shortlisted candidates will be contacted.

skills

no additional skills required

qualification

no additional qualifications required

educational requirements

Bachelor Degree