Executive Director, Head of Private Banking Compliance
Well-established business platform
About Our Client
Our client is a regional financial institution with businesses across investment banking and private banking. They are looking for a seasoned compliance processional to head up the function for their private banking business.
Reporting to the Head of Legal and Compliance, you will be responsible for:
- Providing compliance advice to the business and ensuring they are updated on any regulatory changes
- Reviewing product and client suitability and managing the control framework around suitability issues
- Acting as the main point of contact with the regulators including SFC and HKMA, responding to inquiries and consultation on a timely manner
- Handling regulatory and advisory compliance issues while working closely with the Head of Financial Crime Compliance on private client onboarding issues
- Leading and participating in global compliance projects to enhance governance and assist with business growth
The Successful Applicant
You will be a university graduate with at least 10 years of compliance experience within the financial services industry. You will have worked in a private bank previously and have extensive experience working with HKMA and SFC regulations. Prior management experience is essential. You will possess strong communication skills in English and Chinese.
What's on Offer
- Attractive salary
- Excellent career prospect