- Leading Private Bank
- Great Working Culture
- Great Remuneration Package
Key Responsibilities:
- Act as a trusted advisor to the business, offering guidance on compliance frameworks, control standards, and risk considerations across private banking activities
- Perform ongoing surveillance, transactional reviews, and thematic assessments to identify potential compliance or operational vulnerabilities, with clear escalation and mitigation recommendations
- As first line of defense, collaborate closely with both frontline teams and independent control functions to ensure effective implementation of regulatory changes and internal policies
- Evaluate new initiatives, including products, services, processes, and systems, with a focus on identifying and mitigating associated compliance risks
- Review client-facing materials and marketing collateral to ensure adherence to applicable regulatory and internal standards
- Conduct periodic and ad hoc control assessments, gap analyses, and independent reviews, driving remediation efforts where necessary
- Prepare high-quality management reporting for senior stakeholders and relevant control functions
- Support the development of a strong compliance culture through training and advisory initiatives
- Assist in the handling and investigation of client complaints, ensuring appropriate resolution and documentation
- Contribute to regulatory reporting, audits, and internal reviews by coordinating with stakeholders, preparing responses, and implementing enhancements where required
Candidate Profile:
- Bachelor’s degree or above in a relevant discipline
- Solid experience within banking or financial services, with exposure to private banking compliance; familiarity with investment products will be advantageous
- Strong analytical mindset with the ability to work independently, manage competing priorities, and deliver under tight timelines
- Excellent interpersonal and communication skills, with fluency in both English and Chinese (written and spoken)
- Sound knowledge of regulatory frameworks governing private banking activities
- Title and seniority will be aligned with the candidate’s experience and expertise
If you believe you meet the above requirements and have the passion and drive to excel in this role, we invite you to submit your application. We apologies that only shortlisted candidates will be contacted. Please click the 'Apply' button below or send through your most updated CV to cchen@captarpartners.com. We apologies that only shortlisted candidates will be contacted.
