Regulatory Risk & Compliance Analyst/Associate, Global Private Bank
- Regulatory Compliance & Risk Review
- Regional 1.5 or 2nd Line of Defense
- Promising APAC Compliance Career & Good Hours
Our Client
Immediate openings with multiple Regional and Global Private Banks to search for Junior Regulatory Risk & Compliance candidates to be part of the growing team for 1.5 or 2nd line of defense for APAC region.
Job Duties
- Report to Regional Head of Compliance & Risk
- Accountable for conducting 1.5 line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with front office, investment, OR & Compliance professionals
- Gatekeeper to ensure fulfilment of HKMA regulatory requirements
- Facilitate in process improvement; governance framework review and on-going KRI reporting
- Responsible for KYC and Client Due Diligence for low to high risk HNW Private Clients
- Source of Wealth assessment and review for new clients, ensuring the compliance with HKMA/AML regulatory requirement and corporate governance
- Serve as the subject matter expert to advise and review KYC/Client Life Cycle requirements for the Front Office
- Provide legal guidance on IPO and capital markets transactions.
- Collaborate with diverse internal/external stakeholders to ensure compliance and perfection in legal documentation.
- Draft, review, and negotiate crucial legal agreements related to corporate finance.
- Multiple Expansion Headcounts with Int’l Private Banks
- COB/CDD/SOW Review in accordance to HKMA/MAS
- Conduct comprehensive KYC and client onboarding for high net worth clients, from low to high risk
- Perform source of wealth (SOW) review, client account profiles analysis and facilitate clearance of adverse findings
- Ensure adherence to corporate governance and HKMA/MAS AML regulatory requirements
- Regional 1.5 Line of Defense Global Private Bank
- Good Hours and Excellent Job Security
- Report to the North Asia Head of Business Risk
- Accountable for conducting regulatory & thematic business risk assessment including product suitability, cross border, pricing, selling process, transaction review by collaborating with the front office, investment, compliance and audit teams across the region
- Gatekeeper to ensure fulfilment of HKMA/SFC regulatory requirements
- AML/KYC/SOW/Surveillance Exp. with Private Banks
- Multiple Expansion Headcounts with Int’l Private Banks
- Bridge between Front office and Compliance/AML team for COB & PR Cases
- Fully Accountable for CDD/KYC/SOW and Transaction Monitoring to ensure fulfilment of HKMA, MAS and AML/CFT regulatory requirements
- Assume 2 nd LOD to advise FO on any FCC/KYC/EDD related matters for low to high risk clients across the region
Requirements
- Degree holder in accounting or related disciplined with 4 years+/- Regulatory Risk Control, Business Risk and Compliance experience earned from int’l private bank
- Big4 trained is definite advantage
- Self-motivated team player with excellent analytical, problem solving and stakeholder management capabilities
- Good understanding of regulatory requirements
- Strong proficiency in English and Mandarin is highly desirable
- Solid AML/KYC/SOW experience with Private Banks
- Friendly & Supportive International Corporate Culture
- Excellent Job Security & Competitive Package
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