Senior Compliance Manager - Private Banking

Job Description

RESPONSIBILITIES • Assist the Head of Compliance in managing all regulatory compliance matters within the Company. • Review policies and procedures to ensure compliance with the applicable regulatory requirements • Formulate and supervise the implementation of compliance review plans, conduct sample transactions checking, particularly relating to investment activities. • Enhance the compliance monitoring program on the Company’s various activities and ensure that all high risk areas are adequately covered and monitored, investigations are timely taken recommendations are made for improvement, and all actual and potential regulatory and policy breaches are promptly escalated to senior management. • Monitor regulatory development, conduct impact analysis, and propose/take the required course of actions. • Provide regulatory compliance advice and support to all businesses and functions on new products/business initiatives, investment services, licensing, internal controls, sales& marketing, etc. • Participate and assist in regulatory compliance‐related projects, initiatives, and system launch / enhancement; provide compliance input on the design and structure of new products and systems and related documentation. • Manage ongoing regulatory filings, ad hoc regulatory requests, and regulatory exams. This includes liaising with regulators, auditors, and internal stakeholders, coordinating responses internally and ensuring responses are appropriate and timely. • Design and conduct compliance training on applicable regulatory requirements and the Company’s policies and training objectives. • Handle matters on KYC and AML in collaboration with the MLRO Show More