Internal Control & Compliance, Wealth Management (Banking)

Internal Control & Compliance, Wealth Management (Banking)

Levin Human Capital Consulting
Hong Kong
5 - 8 Years
Not Specified

Job Description

Job Description :

  • Assist in formulating internal compliance policies, guidelines and procedures for wealth management departments to ensure that their operations comply with relevant laws, regulations and regulatory requirements.
  • Ensure the key process measures such as AML / CFT are strictly implemented for each department’s business processes, such as account opening, remittance, etc., conduct in-process inspections and post-event supervision
  • Assist in reviewing existing compliance policies and procedures and proposing adaptive updates
  • Design and review various documents related to the development of wealth management business in accordance with relevant laws and regulations and regulatory requirements
  • Communicate and cooperate closely with relevant departments such as compliance, operations, IT to ensure the correct understanding and implementation of existing policies and procedures.
  • Assist in responding to customer complaints and follow up on the handling plan

  • University Degree with 5+ years’ experience in financial institution compliance, internal control management or internal audit
  • Good comprehensive understanding of local laws, regulations, rules and guidelines in the financial industry, such as Banking Ordinance, HKMA Supervisory Policy Manual, AML & CFT related regulations, etc.
  • Familiar with banking and investment products with relevant industry practice experience in banking retail, wealth management business or regulated business
  • Strong analytical, problem solving and practical judgment
  • Good command of written and spoken English and Chinese (incl. Putonghua)

Levin Human Capital Consulting

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