Assistant Vice President, Compliance (Product Advisory)

Ref: AVP/021025DB/51

Responsibilities
 

• Advise management and relevant business units on compliance related issues

• Keep abreast of the latest legal and regulatory requirements and promote compliance awareness and compliance culture

• Assist the team to handle product advisory within relevant divisions including Wealth Management, Asset Management, Forex, OTC and Corporate Insurance; and the daily routine advisory such as product review, media, marketing materials review, cross border business, etc.

• Review new products/services initiatives covering local and global markets, e.g. US and Japan from a regulatory perspective

• Prepare and establish compliance policies & procedures (“P&P”) and related guidelines, and (ii) review and comment on P&P, marketing materials, advertisements, etc. prepared by other departments/ business units, to ensure compliance with applicable internal, legal and regulatory requirements

• Liaise with business, operations, IT and risk management units, auditors and regulatory authorities on compliance related matters/ issues

  Requirements

• University degree in Accounting, Business, Law or related discipline

• At least 5 years’ solid working experience in compliance, audit or related field in the financial services sector or with regulatory authorities

• Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations 

• Sound working knowledge of structured products, e.g. equities, bonds, structure products, virtual assets related products rules, and good knowledge of the regulations, codes and guidelines issued by SFC, HKIA and other regulatory authorities

• Strong ethics, integrity and enthusiasm

• Good leadership, excellent interpersonal, communication and presentation skills

• Good command of written and spoken English and Chinese.  Fluency in Putonghua is an advantage