(Senior) Compliance Manager (Wealth Management Compliance)

Job No.: 500065
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Quality Assurance, Risk Management

Responsibilities:

• Provide professional regulatory advice to business units (retail banking and wealth management teams) on investment and wealth management products and services, insurance sales and processes and related fintech projects, review product due diligence and marketing materials;
• Support the establishment, implementation and update of compliance policies, procedures, provide trainings across business and operation teams to ensure strict compliance with the Group and the regulatory requirements;
• Provide guidance to the business units on the handling of conduct-related incidents to ensure timely reporting to regulators and monitor the implementation of the rectification measures;
• Attend to regulators’ enquiries and information requests in relation to compliance related matters; coordinate with regulators and internal stakeholders as necessary;
• Keep abreast of the latest development of legal and regulatory requirements, guide the business units to conduct gap analysis and provide compliance advice as necessary, monitoring the implementation progress;

Requirements:

• Degree holder or above in Law, Banking and Finance, Accounting or related disciplines;
• 5-8 years' relevant experience in regulatory compliance and control experience in banking, financial sectors or regulatory bodies is preferred;
• Sound knowledge in wealth management banking products/services and the relevant regulatory requirements as well as the market practice;
• Good leadership, stakeholder management, analytical and problem-solving skills, excellent communication skills in both English and Chinese (including Putonghua);
• High integrity, self-motivation and ability to work under with pressure in a fast-paced environment;
• Proficiency in using Microsoft office