Associate/Senior Associate, Regulatory Risk Management, Wealth Management COO Office, Private Banking

Job Summary

As the Associate/Senior Associate – Regulatory Risk Management within the Wealth Management COO Office, you will be responsible for execution, operation and continuous enhancement of regulatory risk management processes within Wealth Management.

The role supports the ongoing compliance with External Asset Management / Business Introducer (EAM/BI) governance framework and tax regimes/ regulatory restrictions such as FATCA, CRS, QI, GST and acts as a key execution and change agent to ensure regulatory requirements are consistently operationalized and aligned with regional and local governance expectations.

Responsibilities

• Execute EAM/BI onboarding, name screening, periodic reviews, and terminations, including due diligence and documentation checks.
• Ensure accurate and timely completion of EAM/BI retrocession processing.
• Act as secretariat to the EAM/BI Committee, including preparation and coordination of management and governance materials.
• Execute day‑to‑day FATCA/CRS/QI/GST/reference data processes and controls, ensuring the accuracy, completeness and traceability of reporting outputs.
• Support annual FATCA/CRS exercises, including Relationship Manager queries, status tracking, coordination with Wealth Management Operations and client outreach.
• Maintain strong process and control discipline to ensure regulatory requirements are applied consistently and accurately across processes.
• Support regulatory change implementation, attestations, issue remediation and coordination with Front Office, Operations and other stakeholders.
• Support change management initiatives from regulatory updates, audits, RCSA findings and process enhancements.
• Translate regulatory or process requirements into operational procedures, SOP updates and training materials.
• Act as a key execution point for Front Office and Support Units (such as Operations, Compliance, Technology, Finance) on regulatory and process matters.
• Coordinate regional alignment efforts, ensuring local processes are consistent with regional frameworks and governance expectation.
• Support effective stakeholder engagement to drive timely execution and issue resolution.
• Support internal and external audit inspections, including preparation of RFIs and evidence
• Support BCP execution activities, including BIA updates, staff recall readiness and BCM attestation preparation.

Requirements

• Bachelor's Degree in Banking, Finance, Accounting or a related field.
• 6 – 8 years of relevant experience in regulatory risk management, compliance or governance within the financial services.
• Prior experience to Wealth Management processes preferred.
• Strong attention to detail with ability to execute regulatory and operational processes and controls accurately.
• Risk‑ and control‑minded, with awareness of regulatory expectations and audit requirements.
• Working knowledge of Wealth Management / Private Banking regulatory processes.
• Strong analytical, organisational, and problem‑solving skills.
• Effective stakeholder management skills with ability to work across Front Office and support functions.
• Proficient in PowerPoint and Excel for tracking, reconciliations, reporting, and presentations.
• Structured, disciplined, proactive, and able to manage multiple processes and timelines concurrently.
• Positive mindset towards change and continuously seeking innovative and efficient ways to achieve objectives and challenge the status quo.

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