- Undertaking risk management advice, remediation and transformation
- Conducting risk management framework design and operational effectiveness
- Regulatory and compliance consulting
- Enterprise risk and controls consulting
- Professional risk support for consulting, internal and external audit services
- Future operating models
- Responding to regulatory criticism and regulatory preparedness
- Providing guidance on current and emerging control practices
- Advising clients on risk culture, conduct and accountability regimes and practices
- Conducting important proactive assessments and assurance around the effectiveness of controls and company processes, while also providing objective consulting support
- Current and emerging HKMA, SFC, and global regulatory expectations regarding key private banking compliance issues such as client onboarding, investor protection, licensing including cross-border compliance, suitability, sales practices, new product processes, product development and diligence, client money, KYC etc
- Structure and function of private banking compliance roles and responsibilities and business models
- Use of technology and data including fintech and regtech innovation with respect to private banking
- Advice and guidance on structuring approaches to emerging regulatory compliance or regulatory exam findings
- Regulatory issue remediation
- Regulatory change management including planning and communication with regulators
- Support mock exam reviews, policy development and drafting assistance with relationship management between regulators and financial institutions
- Compliance framework – understanding of core compliance functions: risk assessment, policy management, testing, monitoring and surveillance and reporting etc.
- Support the revision or formulation of new policies and controls aligned with regulatory and compliance guidelines and requirements
- An entrepreneurial mindset using knowledge of industry pain-points and regulatory developments to develop and market offerings and drive revenue
- Maintain and develop banking industry connections to network in order to maintain awareness of industry issues and links to clients
- Strong team and project management skills with a proven track record of successful project delivery on time
- Good interpersonal and communication skills
- A university degree
- At least 8 years of solid experience in private banks, regulators or reputable international accounting/consulting firms with in-depth knowledge of regulatory compliance and risk management in private banking. Candidates with lesser experience will be considered at Manager Level
- Robust practical experience of banks' internal controls, regulatory compliance, risk governance and related operational knowledge
- Familiarity with the regulatory environment of Hong Kong with experience in liaising with HKMA and SFC. Experience in the Mainland Chinese market or of market entry issues there would be an advantage
- Good knowledge of banking and securities regulations and business operations as well as different private banking products and services
- Good command of both English and Chinese (Putonghua and Cantonese)
- Ability to interact with executive levels of clients, regulators and EY management
- Good influencing skills and stakeholder relationship management skills, advanced conflict management/resolution skills and project coordination experience
- Strong report-writing skills, with ability to create and organize varying forms of business information while developing it into clear, meaningful, professional reports and presentations
- Support, coaching and feedback from some of the most engaging colleagues around
- A variety of roles and client experiences - you will have the opportunity to work on multiple client projects solving complex problems across financial services
- Opportunities to develop new skills and progress your career
- The freedom and flexibility to handle your role in a way that's right for you
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Compliance Director
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FSO - Consulting - BC - Regulatory Compliance (Private Banking, FSRM) - Director - Hong Kong - EY
描述
The opportunity
Join our FSRM team and you will provide a highly integrated broad array of risk management services to capital market participants. FSRM products and services include suitability and product offering advice, front office controls, licensing, know your client, client assets and money, other regulatory compliance, operational risk and enterprise risk, prudential supervision, bank holding company reporting, credit risk/capital adequacy liquidity risk, market risk and financial crime compliance consulting services.
With so many offerings, you can develop your career through a broad scope of engagements, mentoring and formal learning. That's how we develop outstanding leaders who team to deliver on our promises to our stakeholders, and in so doing, play a critical role in building a better working world for our people, for our clients and for our communities. Sound interesting? Well this is just the beginning. Because whenever you join, however long you stay, the exceptional EY experience lasts a lifetime.
Wide breadth of services of FSRM including, but not limited to:
EY is seeking candidates for our Regulatory Compliance team within FSRM with experience in private banking.
Your key responsibilities
Lead EY projects with respect to:
To qualify for the role you must have
What working at EY offers
