Compliance Advisory (Wealth management) - team head

About Our Client

Our client, a leading banking group, is looking for a wealth management compliance candidate to lead their advisory team.

About The Role

• Assist the Head of Regulatory Compliance to supervise the team of Wealth Management Advisory
• Provide advice to businesses for complying with relevant regulatory requirements, covering wealth management compliance related areas
• Formulate and maintain regulatory compliance related policies and procedures to ensure compliance with regulatory requirements
• Represent compliance to participate in new product & service review process and advise on wealth management compliance perspective
• Review marketing materials and staff sales script prepared by business units
• Prepare and deliver wealth management compliance-related training to relevant Bank's staff
• Assist in disseminating the latest regulatory requirements to the relevant business or operations units and follow- up with the respective units on the respective implementation plan
• Assist in preparing and coordinating responses to regulatory inquiries
• Assist in reporting any compliance related issues to management and Group counterparts
• Handle other ad-hoc tasks assigned by the Head of Regulatory Compliance

Requirements

• University degree in Laws, Finance, Accounting or relevant discipline.
• At least 10 years' in compliance, audit and related fields with hands-on experience in compliance
• Good interpersonal, analytical and presentation skills
• Good command of written English and Chinese
• Control room / equity capital market compliance experiences is a plus

Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.