Our client, an established securities firm is looking for experienced compliance manager in wealth management compliance to join the team.
Responsibilities
Review and update compliance manuals, policies, and procedures to reflect regulatory changes, business needs, new products, and industry best practices.
Provide regulatory guidance on wealth management products, business initiatives, infrastructure projects, and regional expansion.
Manage regulatory enquiries and requests, coordinate timely responses, and maintain effective relationships with regulators and overseas offices.
Conduct compliance monitoring, identify and resolve issues, and recommend improvements to procedures, processes, and regulatory frameworks.
Develop and deliver compliance training to promote policy awareness and a strong compliance culture across the organisation.
Requirements
Degree holder with at least 5 years of relevant experience in wealth management compliance within financial services industry, consulting firms or regulatory bodies.
Sound knowledge of wealth management products and regulatory requirements in Hong Kong.
Good command of written and spoken English and Chinese.
