Banking & Financial Services

Associate, Compliance Testing – Private Banking

Job details

Location: Hong Kong
Job Type: Permanent
Reference: ACTPB/NR260421
Posted: 5 months ago

Job description



  • Identify and rectify internal breaches/control weakness through ongoing review/monitoring of the control framework from group and local regulatory requirement perspective;
  • Conduct regular reviews and surveillance on Compliance and controls framework, which cover the following and not limited to - investment selling practice (suitability), product due diligence, general compliance, ad-hoc thematic reviews;
  • Prepare documentation to report and escalate any issues and exceptions for managerial review; recommend the mitigation actions where needed;
  • Capture and analyze data and identify trends in assessing regulatory compliance risks and advise stakeholders in developing effective controls
  • Assist in the preparation and submission of compliance/regulatory reports for management, regulators, auditors etc;
  • Assist in audits and inspections, and investigations where required;
  • Involve in special work projects and other Compliance team work matters as and when required




  • University degree;
  • 5 - 7 years of relevant experience in monitoring and testing, general compliance in private banking
  • Good interpersonal communication and writing skills, team player
  • Able to identify control weakness, and provide recommendation for business action;
  • Motivated and self-driven; able to handle issues and resolve challenges in collaboration with different stakeholders;
  • Fluent English and Chinese language skills


If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan,  Web:


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