Compliance Manager - Private Wealth and Asset Management

Our client is a Swiss Heritage Wealth & Investment Banking Advisor base in Hong Kong.



Title: Compliance Manager (HKD50-70K/m)

Reporting Line: Head of Compliance

Team Structure: a team of 4




Roles and Responsibilities

• Support the end-to-end Client management process, including on-boarding/off-boarding Clients;
• Perform day-to-day Client due diligence and maintenance throughout the Client relationship cycle;
• Contribute to the development and maintenance of Client records and databases;
• Establish and update compliance policies and procedures aligning with company standards;
• Provide guidance and support to internal teams on Compliance-related matters, ensuring that all Employees are aware of and adhere to the company's code of conduct and ethical standards; 
• Oversee risk assessments and monitor changes in regulations, industry trends, and emerging risks to promptly adapt compliance programs;
• Provide advice on compliance matters as required;
• Demonstrate commitment to regulatory requirements and guidelines with a high level of ethical standard.

Requirements

• At least 6-7 years of relevant professional experience, either in an AML or Compliance function for a financial regulated firm or a major accounting/audit firm;
• Strong knowledge in SFC licensing, AML Compliance and relevant regulatory requirements;
• Professional candidates with international exposure and dealings with private clients/HNW preferred;
• Exceptional attention to detail and strong analytical skills, with the ability to identify and assess potential;
• Ability to work independently and effectively manage multiple deadlines and priorities in a fast-paced environment;
• Problem solving attitude with a positive thinking and ability to see tasks to completion;
• Proven ability to lead and mentor a team, fostering collaboration and professional growth;
• Excellent written and verbal communication skills, with the ability to effectively convey
• complex information and interact with individuals at all levels within the Company;
• Full working proficiency in English, additional language (Mandarin/Cantonese, French, German or Italian is a plus);
• Proficiency in Microsoft Office (Excel, Power Point, Word).