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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.

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.