Compliance Officer - Regulatory & Policies Hong Kong

At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together.

YOUR CHALLENGE

• Act as a contact point of HK Policy Desk to facilitate policy framework of BJBHK
• Perform Compliance advisory and monitoring duties for BJBHK:
  • Compliance surveillance tasks, including but not limited to, employee’s personal account activities, Gifts and hospitality received by/offered to employees, confidentiality areas/wall crossing, product training material review
  • Review Continuous Professional Training eligibility of seminars/trainings attended by employees as stipulated under the Guidelines on Continuous Professional Training issued by the Securities and Futures Commission (“SFC”)
  • New joiner process, including but not limited to, updating Compliance internal calendar and logging the licensing status; distributing new joiner emails; handling Compliance related declarations
  • Licensing process for relevant individuals (performing fitness and propriety assessment of potential relevant individuals and registration controls)
• Handle the requests received from the SFC under Securities and Futures Ordinance Section 181 and Section 182 for BJBHK
• Act as Business Continuity Process (“BCP”) coordinator representing Compliance HK on all BCP related matters
• Coordinate Compliance HK management information reports
• Handle other ad hoc Compliance-related requests if needed

YOUR PROFILE

• University degree preferably in Law/Finance/Accounting/Business
• At least 3 years of experience in professional practice and/or the financial services sector, preferably in HK private banking compliance field
• Certified Compliance Professional – General Compliance Stream preferred
• Attention to details
• Team-oriented
• A strong sense of responsibility and impeccable integrity
• Full professional proficiency in both English and Chinese (spoken and written).  Spoken Chinese means fluent in Cantonese and knowledge of Mandarin is a plus

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