compliance testing, avp - private bank / pwm in Hong Kong

posted
contact
nicole hui, randstad hong kong
job type
permanent
salary
HK$ 50,000 - HK$ 70,000 per month
apply now

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 50,000 - HK$ 70,000 per month
reference number
91M0129418_1547464232
contact
nicole hui, randstad hong kong
apply now

job description

about the company

Our client is a leading private banking with a strong presence in the region.
about the job
  • Assist Head of Compliance Testing & Monitoring Hong Kong to comply with relevant policies and procedures to ensure the local office has effective control framework with ongoing review and testing programs
  • Identify and rectify control weakness through ongoing review/monitoring of the control framework
  • Conduct necessary regular reviews and surveillance on Compliance and controls framework, which cover areas such as investment selling practice (suitability), general compliance, conduct and ad-hoc thematic reviews
  • Prepare working papers and draft monitoring reports for managerial review
  • Assist in the preparation and submission of compliance/regulatory reports for management and regulators
  • Assist in preparation of Compliance training material
skills & experiences required
  • Bachelor degree in laws or accounting is preferred
  • At least 5 years of relevant experience in monitoring and testing, general compliance or regulatory regime in private banking industry is preferred
  • Keen to learn and good team player
  • Good interpersonal communication and writing skills
  • Able to identify control weakness, and provide recommendation for business action
  • Able to handle issues and resolve challenges in collaboration with different stakeholders

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: nicole.hui@randstad.com.hk

skills

private banking, compliance review, assurance, self-assessment, risk control, audit, monitoring, testing

qualification

CPA Qualification - an advantage

educational requirements

Bachelor Degree