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Job

I&I Compliance Senior Manager/ Manager

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Contact:

    Winifred Tsang

  • Contact email:

    w.tsang@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    21 days ago

  • Expiry date:

    2021-07-03

  • Startdate:

    ASAP

My client is a corporate and private bank headquartered in China, with over $3billion RMB asset 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.

 

Job responsibilities:

  • Review new product proposals, policies and procedures on compliance related issues
  • Oversight risk & control framework across consumer businesses
  • Ensure the surveillance meets the external and internal requirements
  • Advice 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 investigation
  • Handle enquiries from regulators and ensure the relevant parties compliance with the regulatory requirement

 

Requirements

  • University graduate with major in Business, Finance, Banking, Law or relevant disciplines
  • Minimum 5 years I&I compliance experiences, preferably in retail banking private banking or private wealth management firms
  • Knowledgeable of SFO, SFC code of conducts 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 w.tsang@hamlynwilliams.com for further discussions.