Oct 23, 2017

International Investment Bank: Associate/VP, PWM Compliance

  • Financial Services
  • Hong Kong
Full time Compliance Wealth Management

Job Description

How you will fulfill your potential

  • Provide advice in real time to the Private Wealth Management business on compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes affecting PWM, including on product suitability, client background and suitability assessment and risk profile evaluations
  • Refine compliance program, controls and surveillance tools which enables compliance to conduct in depth reviews
  • Work with Legal and other Compliance functions on regulatory inquiries and client issues
  • Ensure that appropriate policies and procedures are in place for PWM. Drive completion of updates and the creation of new policies in response to regulatory drivers, external factors and business changes while working closely with Legal and business personnel. Develop, implement and provide training on relevant policies and procedures in compliance with relevant regulations and firm policies/initiatives to the PWM business.
  • Test and monitor controls, surveillances and procedures to assess effectiveness in ensuring adherence to laws, regulations and firm policies and procedures.


Skills & experience we’re looking for:

  • University degree holder/relevant professional or industry qualification.
  • Minimum of 5-7 years relevant experience; preferably in compliance/control function. Regulatory/auditing background will also be considered
  • Good understanding of the regulatory framework for the private client business, and products
  • Strong analytical skills and ability to exercise sound judgment and manage execution under pressure
  • Experience in surveillance, operational flow of products and system knowledge is an advantage
  • Energetic, attentive to detail and capable of multi-tasking in a fast-paced environment
  • Excellent interpersonal skills and the ability to work effectively in a team-oriented setting, prioritize projects to meet tight deadlines. Highly motivated self-starter with an ability to work independently
  • Strong oral and written communication skills
  • Must be fluent in English and Chinese
  • Ability to read and write Chinese is preferable


Vice President

Years of Experience


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