Associate/Director, General Compliance – Private Bank

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: ADGCPB/NR210922
Posted: over 1 year ago

Job description

​​Role Overview:

This person provides support to the Hong Kong Compliance team, handling the day-to-day spectrum of compliance activities for the Hong Kong branch, to ensure that the business operations adhere to the requirements of relevant regulators such as the Hong Kong Monetary Authority (HKMA), the Securities and Futures Commission (SFC) and the Swiss Financial Market Supervisory Authority (FINMA), and all relevant compliance-related laws and regulations, as well as internal compliance policies and procedures.



  • Provide support and guidance on general compliance issues to ensure compliance with global, regional and local laws, regulations and Bank policies

  • Manage and maintain compliance related policies and procedures

  • Assist to plan and execute various compliance initiatives and trainings

  • Provide technical and managerial support for local compliance needs as required

  • Assist to monitor for regulatory changes and update internal parties from time to time

  • Oversee the design and implementation of FATCA/ CRS compliance processes

  • Assist in the preparation and submission of compliance/regulatory reports for management, regulators, auditors, etc;

  • Assist in audits and inspections, and investigations where required

  • Involvement in special work projects as and when required

  • Assist the Compliance team in any other work matters

  • Perform duties as may be instructed by line manager

  • Interface with external parties, including regulators, as may be required



  • Basic bachelor degree;

  • 5 - 7 years of relevant experience in general compliance, and FATCA/CRS preferably in a Hong Kong private bank

  • A keen interest to learn and perform compliance matters;

  • Good interactive, communication and writing skills;

  • Able to provide alternative solutions to business;

  • Motivated and innovative; able to handle issues and resolve challenges in collaboration with colleagues;

  • Team player


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


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