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Legal, Compliance & Tax

Senior Compliance Officer
IB Asia


At Vontobel, we are committed to actively shaping our future. We create and pursue investment opportunities that get our clients ahead. As a global financial service provider with Swiss roots, we specialize in wealth management, active asset management and investment solutions that fit.

Within our compliance team in Hong Kong we are looking for a Senior Compliance Officer for Distribution of Financial Products Compliance Framework.
 

Your challenge: 

  • Responsible for clients on-boarding from a compliance prospective including but not limited to KYC, AML, client suitability, etc. Target clients will be mainly Professional Investors in Hong Kong and Singapore with further plans to include other markets in the region; 
  • Update and develop compliance manuals for all offices in the region to ensure that they reflect applicable regulatory guidelines, best practices and internal standards; 
  • Conduct independent review of staff activities according to regulations and internal policies, and recommend solutions to management in case of any breaches; 
  • Collaborate closely with other Vontobel entities including the group’s head quarter in Zurich in order to ensure consistency, efficiency and accomplishment of the group’s overall Compliance framework; 
  • Maintain the optimal balance between our client-focused culture and 100% compliant business practice; 
  • Prepare and provide on-going compliance trainings to all staff in Asia; 
  • Quarterly travel to Singapore or other offices of Vontobel may be required;

 

Your qualification:

  • University degree in economics / law or equivalent
  • 7+ years relevant compliance experience in the region, dual working experience with MAS and SFC will be a major plus; 
  • Solid knowledge on unlisted structure investment products market in Asia (Note and OTC),
    with a strong understanding of cross-border topics; 
  • Possess the overall compliance know-how on how to run licensed entities in Hong Kong and Singapore; 
  • Fluent in written and spoken Cantonese Chinese and English is a must;
Only direct applications desired.

Contact:
 Ana Piubel, Corporate Human Resources, +41 58 283 63 55
 
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