Director, Compliance

LGT is the largest Private Banking and Asset Management group in the world to be owned by an entrepreneurial family. As the family office of the Princely House of Liechtenstein, we have years of experience in the management of sizeable sums of assets.

"Become part of a family – not just a company."
Working in an inspiring and international environment.

We are always looking for qualified, motivated and dedicated colleagues. Discover the below opportunities open to you:

Job Description

Core business-as-usual responsibilities

• Manage HKMA and SFC licensing matters, including applications, changes, cessations, records, follow-up actions and related enquiries; maintain timely and accurate documentation and escalate issues as appropriate.
• Administer the PAD framework, including employee declarations, monitoring, review of exceptions and escalation of potential breaches.
• Assess CPT requirements, advise relevant stakeholders on obligations and support the tracking and resolution of training-related issues.
• Oversee staff-conduct matters, including conflicts-of-interest, external-mandate and fit-and-proper declarations; advise on potential issues and coordinate appropriate reviews, approvals or escalations.
• Oversee the approval, registry, and auditing of all business gifts and entertainment across the bank to ensure strict compliance with applicable rules, regulations and group/ regional anti-bribery directives
• Handle client complaints, coordinating fact-finding, responses, escalation and remediation with relevant teams in accordance with applicable procedures.
• Provide timely, risk-based compliance advice to stakeholders on staff conduct, applicable policies and regulatory expectations.

Reviews, advisory and change

• Conduct compliance reviews, gap analyses and self-assessments on conduct-related topics; document findings, agree remedial actions with stakeholders and track them through to closure.
• Support regulatory enquiries and inspections relating to the role’s areas of responsibility, including gathering information and coordinating responses.
• Identify emerging conduct risks and opportunities to improve policies, procedures, training and monitoring; communicate material issues to the Head of Regulatory & Investment Compliance.
• Perform other ad-hoc duties and special projects as assigned.
• With a primary focus on staff conduct-related matters, the postholder will also advise on other compliance topics, subject to their expertise and business priorities, including suitability, sales practices and processes, product training, sustainability, IT compliance, HKIDR, and OTC reporting.

Requirements

• Substantial experience in compliance or regulatory advisory within Hong Kong financial services, with hands-on knowledge of staff-conduct controls and HKMA/SFC licensing processes.
• Practical experience administering PAD, assessing CPT obligations, managing declarations and advising stakeholders on conduct matters.
• Experience performing compliance reviews or gap analyses, documenting findings and following up remediation.
• Sound judgement in handling sensitive matters, including potential breaches, conflicts of interest and client complaints; able to distinguish routine questions from issues requiring escalation.
• Strong written and verbal communication skills, with the ability to give clear, workable advice and coordinate across business and control functions.
• Organised and detail-oriented, with the ability to manage recurring BAU processes alongside reviews, enquiries and project work.
• Experience in one or more of suitability, sales practices, product training, sustainability, IT-related compliance, HKIDR or OTC reporting would be advantageous, but is not a prerequisite for the core remit.

Contact Information

We are looking forward to receiving your online application.

For any further information please do not hesitate to contact our HR Business Partner.

LGT Bank (Hong Kong)

Human Resources

Catherine Wong