Wealth Management Compliance Wealth Management Compliance …

Robert Walters Hong Kong
in Hong Kong
Permanent, Full time
Be the first to apply
Robert Walters Hong Kong
in Hong Kong
Permanent, Full time
Be the first to apply
A digital bank is looking for a seasoned compliance professional experienced in wealth management/investment product compliance

The Role Responsibilities
* Advise the designated business and/or support units about all applicable laws and regulations, and assist them to establish appropriate policies, manuals and procedures for their operations with due regard to all applicable Group requirements and regulatory requirements
* Ensure that products and services offered by the Bank, marketing materials and the relevant operational processes are in compliance with the Group requirements and local regulatory requirement
* Provide advisory services to VB and/or support units on all relevant compliance issues and to liaise with regulators
* Review the advertising and marketing materials, new product initiatives, and obtain regulators' approval as required
* Handle and advise on regular submissions / ad-hoc surveys, regulatory information request / enquires / inspection, and liaise with regulators and coordinate appropriate responses to their queries
* Review and advise on customer complaints and liaise with regulators as necessary
* Ensure prompt escalation of regulatory issues to management

* Solid experience in wealth management/ securities compliance
* Thorough knowledge of laws and regulations applicable to banks relating to wealth management products
* Effective communications skills (written and spoken)
* Strong analytical skills
* Passion/interest in virtual banks
* Willing to stand and work in ambiguity and fast-changing environment
* Ability to work under pressure
* Exemplary integrity, ethics, independence, and resilience

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