About Our Client
Our client, a leading banking group, is looking for a wealth management compliance candidate to lead their advisory team.
About The Role
- Assist the Head of Regulatory Compliance to supervise the team of Wealth Management Advisory
- Provide advice to businesses for complying with relevant regulatory requirements, covering wealth management compliance related areas
- Formulate and maintain regulatory compliance related policies and procedures to ensure compliance with regulatory requirements
- Represent compliance to participate in new product & service review process and advise on wealth management compliance perspective
- Review marketing materials and staff sales script prepared by business units
- Prepare and deliver wealth management compliance-related training to relevant Bank's staff
- Assist in disseminating the latest regulatory requirements to the relevant business or operations units and follow- up with the respective units on the respective implementation plan
- Assist in preparing and coordinating responses to regulatory inquiries
- Assist in reporting any compliance related issues to management and Group counterparts
- Handle other ad-hoc tasks assigned by the Head of Regulatory Compliance
- University degree in Laws, Finance, Accounting or relevant discipline.
- At least 10 years' in compliance, audit and related fields with hands-on experience in compliance
- Good interpersonal, analytical and presentation skills
- Good command of written English and Chinese
- Control room / equity capital market compliance experiences is a plus
Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.