Responsible for handling regulatory inquires and ensuring policies and procedures are compiled while refining compliance program and handling ad hoc tasks.

Client Details

Our client is a financial services firm with type 1,2,4,6,9, SFC license. They provide services in asset management, private wealth management, equity derivatives, investment banking, FICC, cross boarded and structured finance, equity research and sales and fintech and retail business. They are now seeking to hire a Private Wealth Management Compliance AVP/VP level to join their compliance team.

Description

- Provide advice on regulatory and reputational matters (Product suitability, client background, suitability assessment and risk profile evaluations)

- Refine compliance program, controls and surveillance tools

- Collaborate with Legal and Compliance teams on regulatory inquires

- Ensure policies and procedures are compiled

- Update regulatory policies

- Assist in retail/fintech brokerage related compliance matters

- Manage Ad Hoc tasks

Profile

- Bachelor degree in Business or related profession

- 5-10 years in HK regulatory compliance experience in insurance and investment products, private bank or wealth management

- Good understanding in regulatory framework for private client and products

- Articulate in English and Chinese

- Must be able to read and write chinese

Job Offer

-great exposure

- exposure to both PWM and Fintech compliance

-attractive bonus

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Monica Wong on +852 2848 4789.