Compliance Advisory (Wealth management) - team head

Job level Middle
Work exp No work experience
Education Bachelor Degree
Within Hong Kong
Employment type Full Time
Industry Banking
Job function Banking / Finance > Legal / Compliance
Banking / Finance > Retail Banking / Branch Banking
Banking / Finance > Private Banking / Wealth Management
Published On 18/01/2022
ref. 49161_38635

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


  • 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.