Compliance Director - European Private Bank

An international private bank is seeking a compliance professional to join its compliance team. This role will take primary ownership of HKMA and SFC licensing administration, personal account dealing (PAD) frameworks, staff conduct compliance, and regulatory risk oversight.

Key Responsibilities

• Manage all HKMA and SFC licensing matters (applications, changes, cessations, filings) and maintain proactive dialogue with regulators.

• Oversee the Personal Account Dealing (PAD) framework, Continuous Professional Training (CPT) requirements, fit-and-proper declarations, external mandates, and conflicts of interest.

• Manage the approval registry and auditing of business gifts and entertainment in strict adherence to Anti-Bribery & Corruption (ABC) policies.

• Handle client complaints by leading fact-finding initiatives, managing responses, and driving remedial actions across internal business units.

• Conduct regular conduct-related compliance reviews and self-assessments; identify emerging risks and track remediation to completion.

• Provide risk-based advice to senior stakeholders and support broader compliance areas including sales suitability, HKIDR, OTC reporting, and product governance as needed.

Key Requirements

• Substantial senior compliance or regulatory advisory experience within top-tier financial institutions or wealth management firms in Hong Kong.

• Strong, hands-on working knowledge of HKMA and SFC licensing regimes, PAD frameworks, CPT requirements, and staff conduct policies.

• Proven track record conducting compliance reviews, gap analyses, and handling client complaints or internal investigations with sound judgement.

• Exceptional written and spoken English and Chinese (Cantonese/Mandarin), with the ability to deliver pragmatic, business-oriented compliance advice.