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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
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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