VP, Regulatory Compliance, Private Banking
Core
Lead regulatory compliance for a European private bank's Asia presence, managing dealing programs, licensing, conflict of interest, and regulatory liaison with HKMA and SFC.
Role type
VP, Regulatory Compliance (Private Banking)
Builds
Compliance governance frameworks, licensing applications, and regulatory reporting for the Private Banking business.
Domain
Private Banking / Wealth Management / Financial Services
Required skills
Regulatory compliance management, Licensing and registration, Conflict of Interest (COI) framework management, Regulatory liaison, Policy development, Compliance training, Gap assessment, Process improvement
Preferred skills
Cantonese, Mandarin
Technologies
None stated
Responsibilities
Lead the Personal Account (PA) Dealing Program including policy governance, pre-clearance approvals, monitoring, surveillance, and breach investigations. Oversee licensing and registration matters with the Hong Kong Monetary Authority (HKMA) and Securities and Futures Commission (SFC). Manage the Bank's Conflict of Interest (COI) framework and provide advisory support on conflict matters. Act as a key regulatory compliance advisor to the Private Banking business. Lead compliance-related projects and regulatory change initiatives. Serve as the primary liaison for regulatory affairs and coordinate responses to regulatory enquiries. Develop and enhance compliance policies, procedures, and governance frameworks. Deliver compliance training and awareness programmes.
Seniority
VP, Senior Leadership