Provide compliance and control support to wealth management business in VB
Handle EO application and regulated activities licensing issues
Assist to establish and maintain sound wealth management compliance framework
Monitor wealth management regulatory developments and communicate with relevant staff in the VB to implement appropriate compliance rules and standards
Review wealth management business initiatives from compliance perspective
Establish and perform regular review on compliance related policies and procedures
Provide compliance training and promote compliance awareness among the Bank staffs
Coordinate compliance related regulatory enquiries, reporting, on site and off site
Handle ad-hoc projects assigned by the Head of Compliance from time to time
Requirements:
Degree or above in Law, Risk Management, Business Administration or related disciplines, preferably with relevant qualification (e.g. CPA, ACCA, FRM, CAMS, etc.)
At least 8 years' experience in compliance/risk management role of a banking or financial institution
Sound knowledge in rules and regulations from the HKMA and SFC
Familiar with retail wealth management banking including investment and insurance products
Experience in interacting with regulatory bodies (e.g. HKMA, SFC)
Excellent written and verbal communication skills in English, Cantonese and Mandarin
Detail-oriented, analytical and ability to identify potential issues and solutions
Have passion to work in VB dynamic environment
Please note that only shortlisted candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes
