AVP/VP, Wholesale Wealth Management Compliance

CMB Wing Lung Bank Limited

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).