Our Client is an international private bank and they are currently expending their compliance team.
- To lead on-site compliance reviews to validate compliance against established policies and procedures and develop recommendation for remedial action
- To preform review and ensure compliance with internal policies/guidelines as well as external regulatory requirements
- To prepare reports to management and other departments for compliance and risk management related issues
- To co-ordinate monthly meeting with relevant parties in relation to risk management and compliance issues
- To assist in developing, updating and reviewing policies, procedures, guidelines from the compliance perspective
- To provide support on product compliance in regard to new product launch and review of marketing materials
- To handle ad hoc tasks assigned by the supervisor
- University graduate, preferably in Finance/Risk Management or related disciplines
- Experience in handling SFC type 1,4 & 9 licences
- Minimum of 5 years' experience in internal control or compliance functions of securities or banking industry
- Good understanding of relevant policies, procedures, practices and rules issued by SFC and other regulatory bodies
- Self-motivated, target oriented and able to work under pressure
- Strong interpersonal and communication skills
Argyll Scott Asia is acting as an Employment Agency in relation to this vacancy.