For Recruiters

VP, Private Banking Compliance

Aquis Search
Hong Kong
Posted 3 days ago Hybrid Permanent HK$90k - HK$100k
G
Posted by
Gordon Kwong
Recruiter
My client is a Swiss private bank currently hiring for a VP of Compliance responsible for providing regulatory compliance advisory to HQ and the Hong Kong business. The role will be the point of contact with the regulators and also be the Hong Kong representative. Interested candidates please send CV: gordonkwong@aquissearch.com

Responsibilities

  • Support day-to-day compliance and ops risk related matters
  • Key contact person for SFC and ensure compliance with SFC regulations (Code of Conduct, FMCC, Investment Suitability, AML, risk disclosures, best execution, VC, licensing matters etc)
  • Handle circulars and surveys,
  • Manage compliance risk assessment program
  • Implement internal controls 

Requirements

  • University Degree
  • 8 - 10 years of experience, previously Big 4 experience an advantage
  • Experience working in private banking or asset management 
  • Strong stakeholder management skills
  • Project management skills 
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