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AVP - Investment Product Compliance, General Compliance

  • Location

    Hong Kong City

  • Sector:

    Banking & Front Office

  • Job type:


  • Salary:


  • Contact:

    Stephanie Lui

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    over 1 year ago

  • Expiry date:


My client is a well-established Corporate Bank in Asia and they are looking for an AVP to join the General Compliance team, mainly be responsible for investment product due diligence and advisory on Policies & Procedures. They offer excellent work-life balance and attractive remuneration (good bonus).

Key responsibilities:

  • Review product due diligence paper, sales materials, and policies & procedures prepared by business units.
  •  Provide compliance advice on the sales process and suitability framework for investment products, including FX products, Fixed Income products, Funds, Structured products, OTC Derivatives products, etc. from compliance & regulatory perspective to ensure full compliance with the relevant regulatory requirements.
  •  Conduct risk-based compliance reviews according to the annual compliance review plan and assigned special/ad-hoc reviews. Compile compliance review reports to highlight major regulatory compliance issues and risk implications.
  •  Identify and evaluate regulatory compliance risk and control issues and provide recommendations for improvement.
  •  Update the Compliance policies & procedures and ensure regulatory compliance on Type 1 and 4 regulated activities.
  •  Coordinate regulatory onsite and offsite examinations conducted by the regulators on regulated activities.
  •  Prepare the regulatory report on compliance as well as other internal and external reports.
  •  Handle compliance requests from head office, internal & external auditors.
  •  Deliver investment compliance training to relevant Bank's staffs.
  •  Review and monitor staff personal account dealing.


  •  Degree in business, finance, accounting or related discipline.
  •  Minimum 6 years of relevant experience in audit/compliance/compliance review in banking/financial services industry.
  •  Strong knowledge of regulatory requirements such as SFO, SFC's Code of Conduct, SFC and HKMA circulars, etc.
  •  In-depth knowledge of investment products, including FX products, Fixed Income products, Funds, Structured products, OTC Derivatives products, and other global market products.
  •  Proficiency in both English and Chinese, fluency in Mandarin is an advantage.
  •  Responsible, detail oriented, well-organized and with good communication skills.