Our client is seeking an experienced Compliance professional to support the regulatory compliance function within their Private Banking business. The role focuses on ensuring adherence to relevant laws and regulations, particularly in anti-money laundering (AML), and contributing to the development of effective compliance frameworks.
Key Responsibilities:
- Ensure the Private Banking business maintains and updates compliance policies and procedures in line with both internal standards and local regulatory requirements.
- Support the Compliance Lead in delivering compliance training, advising on regulatory matters, and providing guidance on new regulations, business initiatives, product approvals, and licensing requirements.
- Monitor regulatory developments and promptly communicate relevant updates to management and business units.
- Coordinate responses to regulatory inquiries, audits, and internal investigations, and maintain constructive relationships with regulatory bodies where applicable.
- Conduct compliance reviews and risk assessments, with a focus on AML and regulatory compliance.
- Review marketing materials and client-facing documents to ensure regulatory alignment.
- Evaluate agreements and contracts related to Private Banking activities.
- Assist in broader Legal and Compliance Department responsibilities as needed.
Requirements:
- Bachelor’s degree with over 5 years of experience in regulatory compliance within Wealth Management, Private Banking, or relevant professional services (e.g., Big 4 firms).
- Experience in AML reviews and KYC processes is highly desirable.
- Strong knowledge of Private Banking or Wealth Management products and the regulatory landscape.
- Possesses proficiency in Mandarin to effectively communicate with Mandarin-speaking clients.
- Self-motivated, detail-oriented, and capable of working independently.
- Strong analytical and problem-solving skills with a strategic mindset.
- Team-oriented with a proactive and positive attitude.
- Proficient in Microsoft Excel and PowerPoint.
If you are keen to explore and have a confidential chat, feel free to share your resume by applying for this role.
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