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Julius Baer

Compliance Officer - Regulatory & Policies Hong Kong

AI in this role

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.

Regulatory & Policies Hong Kong (“HK”) is part of the Global Compliance Division of Julius Baer and is responsible for advising and the supervision of the private banking business of Bank Julius Baer & Co. Ltd., Hong Kong Branch (“BJBHK”).

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

We are looking forward to receiving your full job application through our online application tool. Further interesting job opportunities can be found on our Career site.

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How we rate this

Compliance Officer - Regulatory & Policies Hong Kong at Julius Baer rates 36 out of 100 for how much of the daily work is AI. That makes it Little AI (AI Level 1 of 4). The level is about AI in the job, not seniority.

Classification

Little AI. AI is not part of the work.

  1. ●●●● Builds AI80 to 100
  2. ●●●○ Works on AI60 to 79
  3. ●●○○ Uses AI40 to 59
  4. ●○○○ Little AI0 to 39

Levels come from how often the tools, models and workflows of the role are named in the posting itself. Read the description and count the AI tools, models and workflows it names.

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