Vice President - Compliance (Private Wealth Management)

Job Description:

• Setting the policies and procedures for adherence to legal and regulatory requirements in the jurisdiction(s) where the corporation operates
• Monitoring the corporation's compliance with the established policies and procedures
• Monitoring individual staff of the department related to complying with regulatory aspect and adhere to company policies and procedures
• Reporting on compliance matters to senior management
• Provide compliance related advice to ensure the internal team members and senior management related to the business
• Handling reply on queries from regulators
• Working with Group Compliance in strengthening internal controls within PWM and ensuring the high quality of our overall execution work
• Keeping team members abreast of any updates on Practice Notes, Guidance Notes, Guidelines and any other rules and regulations relevant to the business
• Maintaining harmonious working relationship internally (all level of team members) and externally (regulators).

Requirements:

• University degree in business related discipline
• 5 - 8 years of relevant experience preferably in regulatory authority or private wealth management sector
• Familiar with AML/ KYC standard, cross-border rules and Private Banking's best practices
• Team player with good time management and organization skills
• High proficiency in both written and spoken English and Chinese. Good command of Mandarin to support Mandarin-speaking clients.

Interested applicants, please send your resume to [Confidential Information]