Senior Compliance Officer – Wealth Management

Hong Kong

• Strong corporate culture
• Attractive remuneration package

Our client is one of the leading European Investment Banks in the world. It has a well-established presence in Asia and has an outstanding opportunity for an experienced and seasoned Compliance Officer to supervise the team.

Reporting to the Head of Wealth Management Compliance, you will be fully responsible for:

• Liaising with regulatory authorities and auditors to resolve any compliance related issues
• Identifying compliance risks and implementing monitoring measures where required
• Developing and ensuring compliance policies and procedures are in line with the local regulatory and wealth management requirements
• Ensuring sensitive employees are identified and exercising control over personal account dealing
• Approving on account opening and closure matters on client and intermediaries relationships with the Bank
• Providing training on compliance issues and promoting compliance awareness and culture
• Submitting risk assessment and quarterly compliance activity reports to Head Office Compliance
• Managing and supervising a team of compliance officers to carry out all compliance duties

The Successful Applicant

You will be a University Graduate holding a degree in law and/or economics preferred with at least 10 years experience gained within Wealth Management .  You will possess sound knowledge of Hong Kong and regional compliance and regulatory laws and have strong communication, analytical and leadership skills. Hands on experience China Market will be highly desirable.  Fluency in English and Mandarin, both written and spoken is essential.

Please email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion.

(WS/7752)