Job title: Regulatory Compliance Advisory Manager, Private Banking
Job type: Permanent
Emp type: Full-time
Location: Hong Kong
Salary type: Annual
Salary from: HKD $500,000.00
Salary to: HKD $750,000.00
Job published: 07-05-2018
Job ID: 33245
Contact name: Jennifer Yang
Phone number: +852 3708 9510
Contact email:

Job Description

Regulatory Compliance Advisory Manager, Private Banking


Senior Compliance position

All-rounded Compliance Advisory role

Attractive Base Salary + Bonuses


Our client is multinational Banking Group with a well-established presence in Asia. As part of business expansion in the Private Banking arm, an outstanding opportunity has arisen for an experienced senior Compliance Advisory professional to join Hong Kong Compliance Team focusing on Private Banking regulatory Compliance.


This role will be reporting directly to Senor compliance management, you will be responsible for PB Compliance Issues and implementing Bank-wide Compliance Frameworks and Regional policy programs as well as Private Bank Business Policy where applicable to the country business model. You will provide compliance supports regarding the design of the sales and trading platform, customer solicitation matters, discharging product suitability obligations, perform risk concentration assessment, notification of material information and risk disclosures. As a senior member of the team, you will perform review on new and existing regulatory requirements, e.g. product suitability obligations, notification of material information and risk disclosures, audio-recording and record keeping requirements, return/hold mail handling requirements, professional investor requirements review. You are also responsible to review and update procedure manuals for Private Banking Department, and ensure the bank is at all times comply with regulatory requirements; and Keep abreast of the new regulatory requirements in financial industries and ensure the bank could follow the best practices.


To qualify, individuals must possess:

  • University degree and relevant professional qualifications
  • Minimum 5+ years experience in compliance, regulatory, audit and / or control functions
  • Strong understanding of the regulatory framework and environment for the Private Banking sector
  • Familiar with the Asia Private Banking markets and products
  • Experience in Investment compliance will be ideal
  • Excellent communications skills with fluency in English
  • Self-motivated, independent and pleasant personality with good communication skills at all level;
  • Able to resolve and address issues with minimal supervision


Whats offer

The successful candidate will be offered an excellent salary package and career prospect within a large multinational bank. An excellent opportunity to be part of growing business during a period of corporate integration and strategic business expansion


To apply, please contact Jennifer Yang for a confidential discussion at (852) 3708 9510 or email quoting job reference number JY33245. To visit more Legal, Compliance and Risk management jobs please check


Data collected will be for recruitment purposes only. Only shortlisted candidates will be contacted. If you have not been contacted within 5 business days of your application, please assume your application has not been shortlisted.