Business Manager - Quality Assurance (Wealth Management Department)

Job Responsibilities:

• Act as the first line of defense by advising the front office on product and investment suitability, ensuring full compliance with regulatory standards
• Monitor transactions, selling processes, trade activities, business reviews, and other routine workflows to ensure proper oversight
• Identify potential compliance or operational risks and propose recommendations to strengthen control weaknesses
• Coordinate internal and external reviews or audits if necessary
• Oversee Business Continuity Planning (BCP) and conduct User Acceptance Testing (UAT) for system enhancement projects
• Provide staff training as needed to ensure team readiness and compliance

Job Requirements:

• Degree holder or above in related discipline
• Minimum 3 - 5 years of experiences in business compliance, preferably from Wealth Management or private banking
• Good knowledge of SFC/HKMA regulations, with preference given to candidates who are current license holders
• Good analytical and risk assessment skills
• Good communication and interpersonal skills
• Good command of written and spoken English and Chinese (including Putonghua)
• Ability to work collaboratively in a fast-paced environment