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FVP / VP - Investment Compliance

East West BankHong Kong

30+ days ago

Job description

Overview

Act as compliance advisor to support businesses in particular Private Banking (PB) and Investment Banking (IB), to ensure EWHK acts in compliance with applicable laws, regulations and ethical standards in dealing with customers and / or market participants and / or authorities which regulate financial institutions so that the risk of impairment to EWHK’s reputation and integrity is properly monitored.

Responsibilities

Advise business stakeholders on compliance related matters and provide guidance to business on day-to-day compliance requirements
Review and update internal manuals, policies and procedures to ensure rules and regulations of HKMA and SFC are in place
Monitor and assess product / investment suitability to ensure alignment with client needs and regulatory requirements and standards
Manage trade surveillance activities and ensure compliance with relevant regulations
Conduct regular compliance reviews and audits to identify and mitigate potential risks
Stay up to date with changes in regulatory requirements and industry’s best practices
Ascertains training needs and helps develop training based on gaps identified through compliance monitoring and testing
Collaborate with internal and external stakeholders to address compliance issues and implement corrective actions
Perform ad-hoc reviews and projects assigned by the Management

Qualifications

Bachelor’s degree in Finance, Business Administration, or related field

10 – 15 years of PB / IB Compliance experience within the banking industry or regulators

Holder of any recognized compliance certificate is preferred

Strong knowledge of investment suitability, general compliance, and trade surveillance

In-depth understanding of regulatory requirements and industry standards

Commercially orientated and be practical and diplomatic in making appropriate judgement calls together with the business

Strong communication, critical thinking and analytical skills and relationship management

Strong interpersonal skills, with the ability to work effectively with diverse teams

Proficiency in compliance software and tools

Good command of both written and spoken English and Chinese (including fluency of Mandarin)

Proficient in MS Office, including Word & Excel and Chinese word processing

Immediately available is highly preferred

East West Bank is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other legally protected status. Reasonable accommodations for disability are provided to applicants and employees in accordance with applicable law.

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Compliance Compliance • Hong Kong