Compliance Manager - Private Banking

Job Title: Compliance Manager - Private Banking
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Negotiable
Reference: JN -122018-227995
Contact Name: Sean Lai
Contact Email:
Job Published: December 20, 2018 07:16

Job Description

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.