Investment banking


Senior compliance officer investment banking (asia)

19 September Hong Kong, Hong Kong Perm

On behalf of our client, a leading Swiss Private Bank, Swisslinx is currently seeking an experienced Senior Compliance Officer Investment Banking (Asia) to join their office in Hong Kong.

In this role, you will be in charge of Compliance activities and regulatory affairs for Hong Kong and Singapore regions.

In this role, your daily tasks will include but will not be limited to:

- Developing and implementing periodic compliance risk monitoring program across the bank processes
- Responsible for clients on-boarding including KYC, AML and client suitability
- Developing and implementing a best practice AML management framework
- Providing reports to Board of Directors regarding compliance matters, AML policies, and high risk issues
- Keeping up-to-date with changes in laws and regulations and implementing internally
- Reviewing and investigating of suspicious activity reports
- Conducting of compliance trainings, as well as reviewing and updating internal compliance policies and procedures


- Minimum of 7+ years of compliance experience in investment banking covering both Hong Kong and Singapore regions
- Experience with derivatives and unlisted structured products (OTC and Note)
- Excellent knowledge of compliance and legal
- Fluency in English and Cantonese Chinese