Senior Compliance Manager (Team Lead), Wealth Management Compliance

Job No.: 500064
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Quality Assurance, Risk Management

Responsibilities:

• Lead and manage the wealth management compliance team to 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;  
• Oversee and assist business units in evaluating the compliance risk in product due diligence, and business initiatives;
• 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;
• Handling regulators’ enquiries and information requests; coordinate with regulators and internal stakeholders as necessary;
• Prepare compliance reports to senior management and the relevant committees on the key compliance issues;
• 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;
• Supervise and coach team members to build a strong, high-performing compliance function aligned with the bank’s compliance culture.

Requirements:

• Degree holder or above in Law, Banking and Finance, Accounting or related disciplines;
• 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 thorough understanding of the regulatory environments and 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