Investment suitability & sales process
Fees and pricing disclosure
Conflict of interests (G&E, PA Dealing etc)
Licensing and staff conduct
Specific regulatory requirements
Duties & Responsibility
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.
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
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
If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.
roldan charterhouse.com.hk Web : www.charterhouse.com.hk
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