about 2 months ago
My client is a corporate and private bank headquartered in China, with over $3billion RMB assets last year. They are currently hiring an Investment and Insurance Compliance Senior Manager/ Manager for the Hong Kong branch.
This is a newly opened role in order to support their new business line. Apart from the attractive salary, the role can offer high independency and flexibility in work.
- Review new product proposals, policies, and procedures on compliance-related issues
- Support and assist in license applications
- Oversight risk & control framework across consumer businesses
- Ensure the surveillance meets the external and internal requirements
- Advice on different functions on compliance and regulatory related matters
- Review product documents and marketing materials to ensure they meet regulatory requirements
- Work with other compliance functions to assist in the investigation
- Handle inquiries from regulators and ensure the relevant parties comply with the regulatory requirement
- University graduate with a major in Business, Finance, Banking, Law, or relevant disciplines is preferred
- Minimum 5 years I&I compliance experience, preferably in retail banking private banking, or private wealth management firms
- Knowledgeable of SFO, SFC code of conduct, and rules
- Experienced in dealing with regulators with excellent negotiation skills
- Good command of both written and spoken English and Chinese
For interested parties, please contact Winifred at +852 2777 6277 or email@example.com for further discussions.