Regulatory Compliance Monitoring – Director
Charterhouse Partnership Hong Kong, EA Licence No: 16S8066
Hong Kong, Hong Kong
source : eFinancialCareers

Key Scope

  • Investment suitability & sales process
  • Fees and pricing disclosure
  • Best execution
  • Cross border
  • Market abuse
  • Conflict of interests (G&E, PA Dealing etc)
  • Licensing and staff conduct
  • Outsourcing
  • Specific regulatory requirements
  • Duties & Responsibility

    Risk Assessment

  • Perform annual risk assessment to identify key risk areas that need to be monitored.
  • Compliance Monitoring and Testing

  • Formulate yearly and thematic compliance monitoring and testing plan based on risk assessment results, regulatory horizon scanning, and discussion with key stakeholders.
  • Execute compliance monitoring and testing plan, including conduct of thematic review as necessary.
  • Report results to senior management & / or relevant committees.
  • Track for timely resolution of issues identified during compliance monitoring and testing activities, which should also focus on root cause / key controls as opposed to just remediating specific samples.
  • Maintain the compliance monitoring and testing framework, including Directive.
  • Audit / Inspection / External Audit

  • Track for timely resolution of audit / inspection / external review findings that are owned by Compliance.
  • Report status of resolution to Head of Compliance and relevant committees.
  • Requirement

  • Degree holder.
  • At least 15 years relevant experience in compliance function within a wealth management / private banks, with at least 8 years in Compliance Monitoring roles or equivalent.
  • Candidates with less experience will be considered for VP position
  • Key Competencies

  • Strong product knowledge
  • Strong knowledge of Singapore and Hong Kong regulations
  • Good communication and writing skills in English.
  • Possess initiative and is able to work independently.
  • Able to handle stress and has excellent time management skills.
  • Strong interpersonal skills and a good team player.
  • Strong analytical and evaluative skills and attention to details.
  • Good computer skills in MS Excel, Word & Powerpoint
  • Team player
  • If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.

    roldan Web :

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