PWM Regulatory Risk

Regulatory Risk role with a top-tier investment bank in Hong Kong.

Your new team

The Business Control Unit team operates within the Asia Private Wealth Management business as the first line of defence; is responsible for structuring and implementing the risk management framework.

Your new role

  • Well versed with the HKMA, MAS and SFC regulatory requirements across private wealth banking industry and products
  • Analyse and track any new regulatory requirements, and review implication to business, propose control and enhancement as applicable
  • Perform independent reviews and gap analysis of our business against regulators expectation and market incidents, to identify, assess and mitigate business related risks
  • Work closely with various stakeholders, Legal & Compliance and other infrastructure teams regarding analyses and recommendation implementation
  • Coordinate adhoc regulatory request and submission, handling external requests and internal stakeholders
  • Facilitate regulatory inspections and advisory audits
  • Support regulatory enquiries, internal audits and compliance testing for the wealth management business
  • Assist in senior management reporting and committee meeting with regard to risk review statistics, status and softspots
  • Identify and participate in process re-engineering projects to reduce the residual risks of the department and improve efficiency and effectiveness

What you'll need to succeed

  • Minimum 3+ years of relevant working experience in the banking industry
  • Positive mindset and attitude
  • Knowledge on regional as well as global regulatory developments
  • Analytical mindset, risk focus
  • Resiliency and work under stress
  • Ability to multitask, project management skills
  • Excellent verbal and written communication and interpersonal skills

Desired Skills (Optional)

  • Risk, Compliance or Global Markets experience
  • Private Banking experience
  • ESG proficiency / knowledge, consultancy / project management skill
  • Previous work experience in a similar control/risk function within the business, or advisory/regulatory background
  • Proficient in data analytics application

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.



Job Type
Banking & Financial Services
Banking and Financial Services

Talk to a consultant

Talk to Kenneth Sze, the specialist consultant managing this position, located in Hong Kong
6604-06,66/F, ICC, 1 Austin Road West, West Kowloon

Telephone: -

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