A career that fits
your calling


At Basel, it is about bringing together people who make things possible for our clients and communities.

Our employees are integral to the firm’s culture of integrity, professionalism and excellence.

At Basel, we look to attract and retain the brightest minds in the business, hiring professionals and students across a wide range of disciplines. Our employees’ passion for their work and commitment to their clients have helped Basel become one of the most respected financial institutions and a trusted partner for some of the largest investors in the world.

Please consider the following job opportunities or refer suitable persons to apply the job:


Job Opportunities

Compliance Manager

Position Overview


To support Basel's continuous growth, we are looking for a high calibre candidate to join the team. The Compliance Manager is to make sure that the Company's regulated activities are in full compliance with relevant laws and regulations and closely work with external compliance firm to achieve these goals. He/she shall put in place all necessary guidelines, processes and training as well as monitor the implementation. 


Job Responsibilities


  • Ensure all the activities are aligned with SFC regulatory requirements and compliance monitoring plan;
  • Develop and enhance internal compliance policies, procedures and guidelines so as to ensure compliance with regulatory requirements;
  • Enforce compliance controls and reviews to ensure licensed individuals and/or the Company are complying with the relevant regulatory obligations;
  • Handle KYC and AML related matters;
  • Prepare SFC license applications, uplift licensing conditions for RO & Rep;
  • Review webpage for adherence to regulatory requirements;
  • Review marketing materials, fund distribution and services agreement;
  • Conduct due diligence on fund setup and new business partners;
  • Establish an internal review framework on a new business area to review current procedures and identify areas with problems;
  • Formulate a plan on how to ensure the new product to comply with regulations;
  • Conduct AML training to staff;
  • Monitor the CPT and regulatory exam requirements;
  • Undertake ad-hoc projects as required.

Job Requirements


  • University degree preferably in law, finance, accounting or related disciplines;
  • At least 5 years of solid working experience in compliance field preferably in financial institutions such as Private Banking/Wealth Management/Asset Management/Regulators in Hong Kong;
  • Solid knowledge about compliance/regulations in Hong Kong for type 4 and 9 activities;
  • Familiar with compliance issues such as KYC and AML;
  • Detail-oriented, mature and able to work independently;
  • Excellent written and spoken English, Cantonese and Mandarin:
  • Candidate with less experience will be considered as Compliance Officer.
Relationship Manager, Private Banking

Responsibilities:


  • Responsible for a portfolio of Private Banking (EAM) and their wealthy clients to provide sophisticated advice on solutions.
  • Promote full range of Private Banking (EAM) and family office services and achieve the Company’s objectives as well as revenue targets.
  • Develop and maintain long-term client network through effective relationship management, with extensive focus on the clients' financial analysis, protection and investment objectives.
  • Ensure the grow of the client base to significantly contribute to the aggregation of AUM.
  • Daily telephone contact and meetings with sophisticated clients as well as negotiations with internal interfaces.
  • Deliver top service to clients and ensure smooth administration.
  • Initiate account openings / closures / update instruction checklists and interface with client to ensure completion of documentation requirements.
  • Maintain a close working relationship with the EAM team and private banks to ensure the continued viability of client objectives and management of client assets. - Effectively coordinate with the Company’s teams and strategic partners to develop appropriate strategies and solutions.
  • Handle financial transactions and product enquiries as well as all categories of customer service matters.
  • Provide guidance, coaching and support to junior members.

Requirements:


  • A university degree, ideally in Banking, Finance, Business Administration or Economics.
  • Min. 5 years’ experience as a Relationship Manager, Business Developer or Investment Adviser in the EAM, Private Banking, HNWI or Asset Management business.
  • Sound knowledge of various types of private banking and retail banking products.
  • Strong client skills combined with the ability to communicate efficiently at all levels are some of your strengths.
  • A standout colleague with excellent organizational skills and a structured and efficient approach.
  • Able to contribute and deliver high-end dedicated service in a dynamic work environment.
  • Proficiency in spoken and written English and Chinese, excellent in Putonghua is preferred.

We offer the right candidate attractive remuneration package and outstanding prospects for career advancement and development. The right candidate will progress career in a forward thinking and dynamic business with exciting growth plans. If you are qualified and interested, please send your full resume with current & expected salary and availability to [email protected]


All information collected will be treated as strictly confidential and used for recruitment purposes only.
(Only shortlisted candidates will be notified)

INVESTOR LOGIN

IMPORTANT NOTES

You must read the following Important Notes before proceeding.

Before continuing, you need to represent and warrant that you or the institution you represent are a Qualified Investor, which is either a “Qualified Purchaser” within the meaning of Title 15 U.S.C. Chapter 2D, Sub Chapter I, Section 80a-2(a)(51), or a “accredited investor” within the meaning of Rule 501 of Regulation D under the U.S. Securities Act of 1933, or a Professional Investor Under Cap 571 of Hong Kong "Securities & Futures Ordinance" Schedule 1, each as amended, or a person or entity who meets certain eligibility qualifications based upon your country of residence.

Information posted on this website is not advertisement, and is neither an offer to sell nor a solicitation of any offer to buy any financial instrument or shares in any fund advised by Basel Capital Limited (“Basel Capital”). Any offering is made only pursuant to the relevant information memorandum, together with the current financial statements of the relevant fund, if available, and the relevant subscription application, all of which must be read in their entirety. Past performance of a fund is no guarantee as to its performance in the future.
The funds and securities that are mentioned in this website have not been registered or qualified with, nor approved or disapproved by, The Securities and Futures Commission (SFC), the U.S. Securities and Exchange Commission (SEC), or any other regulatory authority, nor has any regulatory authority passed upon the accuracy or adequacy of any information that has been or will be provided.

Under all applicable laws, the information contained in this website is not intended to and does not constitute, and no person shall rely upon any such information as constituting investment advice and Basel Capital shall not be considered a “fiduciary” of any person by virtue of Basel Capital shall not form the primary basis of any investment decision. It is your responsibility to independently confirm the information contained herein and obtain any other information deemed relevant to any investment decision.

An investment in a fund or a security involves a significant degree of risk, which each prospective investor must carefully consider before subscribing to purchase an interest in such a fund or security. Investors should not invest in a fund, security, or open a managed account unless they are able and prepared to bear the risk of investment losses, including the potential loss of their entire investment.

Information posted on this website may no longer be updated, true or complete when viewed by you. All information contained herein may be changed or amended without prior notice, although Basel Capital does not undertake to update this site regularly.

All Copyright, patent, intellectual and other property rights in connection with the information contained herein are owned by Basel Capital or its affiliates. No rights of any kind are licensed, assigned or shall otherwise pass to persons accessing this information.

Please click the “ACCEPT” button below if you have read and understood the content of the above Important Notes and Terms and Conditions and agree to abide by them. Otherwise, please click “DECLINE”.