Compliance Director, Monitoring & Testing – Leading Global Private Bank

Job description

Our client is a leading global private banking group offering a wide range of products and services covering wealth management, asset management and managed investments.  It is now seeking to hire a Compliance Director for its Hong Kong office.  

• Leading global private banking group
• Open to non-Chinese speaking candidates with local experience
• Around 1.2M base salary per annum plus discretionary bonus

Reporting to the Chief Compliance Officer, the successful candidate will provide a broad range of compliance support for the Hong Kong office.  Duties will include: performing ongoing compliance reviewing and testing to ensure effective control framework and programs are in place; identifying and rectifying control weakness through ongoing monitoring of the control framework from group and local regulatory requirement perspectives; conducting all necessary regular reviews and surveillance including cross border review, sales process and investment suitability, personal account dealing, outside business interest, complaints, business activities/processes, etc.; and preparing the relevant monitoring reports and determining follow up actions. 

The ideal candidate will hold a degree and preferably a relevant professional qualification with at least 7 years of related compliance experience with no less than 2 years of experience working in a private bank.  Non-Chinese speaking candidates with more than 5 years of experience working in Hong Kong would also be considered. 

If you are interested in finding out more about this career opportunity, please email your resume to Erica Wong, Erica.wong @ charterhouse.com.hk Tel: (852) 3151 1300 Web: www.charterhouse.com.hk

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