Team Head, Investment Product Compliance, Wealth Management

Job Title: Team Head, Investment Product Compliance, Wealth Management
Contract Type: Permanent
Location: Kwun Tong, Kwun Tong District
Salary: Negotiable
Reference: 45730_1621850228
Contact Name: Jessie Chan
Contact Email:
Job Published: May 24, 2021 17:57

Job Description

About Our Client

Our client is a regional bank is looking for a product compliance expertise to lead the team.

About The Role

  • Reporting to Department Head of Investment Product
  • To provide product sales guidance for target customer segment
  • To streamline product approval and to formulate detailed risk disclosure guidelines for investment products approved for retail distribution
  • To work with Personal Banking Division Risk & Compliance Team to set up and maintain sound investment product suitability framework and system logic for online offering platform
  • To ensure product suitability framework is in accordance with all relevant product regulatory requirements and ongoing regulatory development for retail channel
  • To work closely with relevant Divisions/Departments on product due-diligence and product-related matters
  • Keep abreast of all relevant regulatory requirements and assessing the impact on business and operation
  • To monitor the quality of product due diligence and to assess the appropriateness of assigned product risk ratings for retail customer distribution
  • To identify gaps, enhance and perform regular reviews on workflows of conducting product due diligence, risk classification, approval application, on-going review and product compliance related matters


  • Bachelor degree in any disciplines, preferably in Accounting, Finance and Business
  • Minimum of 10 years of relevant working experiences, preferably with exposure in the business of retail investment product distribution
  • Technical knowledge on major investment products, including equity or currency linked structured products, mutual funds, corporate bonds and common option strategies
  • Strong leadership skills and communication skills
  • Solid understanding of HKMA regulations and compliance standard

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.