Responsibilities:

• Act as first line of defense to advise business on compliance and control matters, conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/ operational risk/ breaches, prepare management report(s) and provide recommendations to mitigate relevant risks.
• Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business.
• Review marketing/ product materials submitted by various units, and to analyze the compliance risks in new business/ products/ processes/ system.
• Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various internal and/or regulatory requirements. Recommend follow up action to close the gaps.
• Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense.
• Assist to conduct training to promote compliance culture.
• Assist to investigate customer complaints.
• Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements; or any other tasks assigned by supervisor.

Requirements:

• Degree or above.
• 3+ years working experience in banking and finance, at least 1 year in relevant private banking Compliance. Strong investment product knowledge is an advantage.
• Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
• Proficient in written, spoken English and Chinese.
• Familiar with regulatory requirements of private banking.
• Seniority commensurate with relevant work experience.

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