Wealth Management Compliance Manager - Canadian Investment Bank Wealth Management Compliance Manager - Canadian  …

Arion House
in Hong Kong
Permanent, Full time
Last application, 05 May 21
Competitive
Arion House
in Hong Kong
Permanent, Full time
Last application, 05 May 21
Competitive
An exciting opportunity to join a Canadian Investment Bank's Wealth Management Compliance team to help develop their compliance function. You will assist Head of Wealth Management Compliance Hong Kong with compliance and regulatory issues to support Wealth Management (“WM”) Hong Kong and Wealth Management Asia businesses.

Key Responsibilities:

  • Keep abreast of regulatory changes, developments and trends in banking, securities, financial advisory services and trust business to assess impact on the business

  • Review of and advice on new/proposed regulatory requirements, including working with other business and support functions on gap analyses where required

  • Provide timely regulatory and compliance advice and updates to business and support functions

  • Assist in advising on, drafting, review, updating and implementing Compliance policies and procedures for WM HK including, where required, aligning these across WM Asia

  • Assist in preparing training materials on relevant compliance topics, and conducting compliance training

  • Execution of the Regulatory Compliance Management (“RCM”) programme, escalation and follow through on resolution of issues identified from RCM; and assist in keeping RCM updated in accordance with regulatory requirements and implementing new RCM reviews where required

  • Support Head of WM Compliance HK in managing regulatory relationships, ensure that regulatory notifications are filed accurately and on a timely basis as required, prepare and coordinate responses to regulatory inquiries, regulatory consultation papers, etc.

  • Assist in facilitating regulatory inspections, and in providing compliance support for external and internal audits, etc. and ensure appropriate escalation and resolution of regulatory/compliance issues identified

  • Assist in review of and advice on new and existing products and services, including marketing material and other material

  • Participate in global and/or regional projects within Compliance, work with other regional and global Compliance colleagues to ensure consistency in approach, policies and procedures

Requirements:

  • Degree with 5 years of regulatory compliance experience in the private banking sector within a financial institution, regulator and/or other comparable environment

  • Experience in dealing directly with regulators and auditors, strong understanding of HKMA and SFC rules and regulations, preferably private banking specific

  • Strong attention to detail as well as ability to give a more strategic overview of regulatory issues

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