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Regulatory Compliance Manager M/F


Vacancy details

General information

Entity

About Indosuez Wealth Management in Asia
Indosuez Wealth Management has a solid foundation in Asia as a pioneering bank with more than a century old heritage, when Banque de l'Indochine opened its historic offices in Hong Kong and Singapore. From these two locations, branches of
CA Indosuez (Switzerland) SA, almost 220 highly specialised wealth managers combine their knowledge of the region with the vast opportunities provided by the global network of Indosuez Wealth Management and the Credit Agricole group.
  

Reference

2019-37362  

Publication date

25/02/2019

Position description

Business type

Types of Jobs - Compliance / Financial Security

Contract type

Permanent Contract

Management position

No

Job summary

Outline of the Position:

  • Assist the Head of Compliance in overseeing Regulatory Compliance function of the Branch
  • A key member of Regulatory Compliance Team
     

Key Responsibilities:

  • Perform Compliance reviews and handle ad-hoc compliance projects;
  • Update and maintain the Branch’s New Regulations Register; and  disseminate information to relevant stakeholders on regulatory matters;
  • Submit filings and notifications to regulators and other government authorities in accordance with applicable laws, rules and regulations;
  • Perform regular and ad hoc self-assessment reviews; and handle requests received from regulators and other government authorities;
  • Be the Branch’s contact point with the HKMA, the SFC and other government authorities;  
  • Handle staff registration matters; and perform staff dealing and gifts & entertainment monitoring;
  • Perform ongoing review of the Branch’s processes, policies and procedures to ensure the Branch’s operations are in compliance with the latest regulatory and internal requirements.  
  • Conduct compliance training.

Position localisation

Geographical area

Asia, Hong Kong

City

29th Floor, Two Pacific Place, 88 Queensway, Admiralty Hong Kong  Hong-Kong

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

Degree in Business or related discipline

Level of minimal experience

6-10 years

Experience

At least 7 years relevant experience in banking/financial institution(s) or regulators, preferably with exposure in private banking business

Required skills

Independent, self-motivated and ability to adapt to a team environment;
Good people skills; and
Excellent time management and organization skills

Technical skills required

Solid knowledge of relevant laws, rules and regulations, codes, and guidelines of the HKMA and the SFC;
Ability to identify compliance risks and demonstrate a solid grasp of policies and procedures

Languages

Good command of spoken and written English and Chinese