AVP/VP, Wholesale Wealth Management Compliance

Job Responsibilities

• Assist in establishing and improving the compliance management system for the wholesale wealth management business, including formulating compliance policies and operational procedures.

• Provide daily compliance consulting services to the wholesale wealth management business, answering compliance-related inquiries during business operations.

• Maintain communication with regulatory authorities, respond promptly to regulatory inquiries, and cooperate with regulatory inspections.

• Prepare regular compliance reports, providing updates to management on compliance activities, risk status, and corrective measures.

• Perform other tasks as assigned to support the compliance function.

Job Requirements

• Bachelor’s degree or above, preferably in Economics, Finance, or Law.

• Minimum of 3 years of experience in compliance or risk control within the Hong Kong financial industry; experience in wealth management compliance is preferred.

• Familiarity with compliance requirements for wealth management businesses imposed by the Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC); practical experience in dealing with regulatory inspections and internal audits.

• Experience in product compliance reviews, Anti-Money Laundering (AML), and Customer Due Diligence (CDD/KYC); capable of independently handling complex compliance issues.

• Hold relevant qualifications from the Hong Kong Securities and Investment Institute (HKSI), such as Papers 1, 7, or 12; preferred.

• International compliance or risk management certifications are advantageous, such as Certified Anti-Money Laundering Specialist (CAMS).