AVP/VP, Wholesale Wealth Management Product

Responsibilities

• Conduct product onboarding reviews to ensure compliance with regulatory and internal policies, assessing product structure, risk levels, and return models.

• Perform due diligence and compliance evaluations of partner institutions, including product suppliers and service providers, to ensure they meet required standards.

• Develop and refine compliance processes and standards for product and counterparty onboarding.

• Maintain compliance archives for products and counterparties, ensuring completeness and traceability of documentation.

• Implement secretariat functions for the internal distribution committee as required.

• Perform other tasks assigned to support the compliance function.

Requirements

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

• Minimum of 3 years of experience in product or counterparty onboarding within the Hong Kong wealth management industry.

• Proven ability to independently conduct product compliance due diligence and assess partner institution qualifications.

• In-depth understanding of regulatory requirements from the Hong Kong Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA).

• Possession of relevant qualifications from the Hong Kong Securities and Investment Institute (HKSI), such as Papers 1, 7, and 12.

• Familiarity with tools and methodologies for compliance reviews of financial products and assessments of counterparty qualifications.

This position requires a detail-oriented individual with strong analytical and interpersonal skills, capable of navigating complex regulatory environments while ensuring compliance and fostering successful partnerships.