Compliance Manager, Private Wealth Management / Private Banking

Job level Middle
Work exp 10 Years To 15 Years or above
Education Bachelor Degree
Location Central
Employment type Permanent
Benefits 5-day week, Competitive pay, Dental plan, Discretionary bonus, Education subsidies, Insurance plan, Medical plan, Paid overtime, Travel allowance, Year-end bonus
Industry Banking
Job function Banking / Finance > Private Banking / Wealth Management
Banking / Finance > Legal / Compliance
Legal / Professional Services > Legal & Compliance
Published On 04/11/2016
ref. PB-CM-CP20161104

Job Description:

  • Provide advices to the Bank’s Private Wealth Management/Private Banking (PWM/PB) on all related compliance requirements and ensure that the Bank has put in place all the required controls particularly the areas of KYC and suitability
  • Establish, review, comment, roll out and provide advices on various PWM/PB policies/procedures and sales process, new product proposals, product term sheets/marketing materials for investment products, insurance products and respective AUM pledged credit facilities, as well as sales process, system requirements and related sales workflow prepared by business units to ensure the compliance with HKMA/SFC regulatory requirements
  • Perform regular and timely compliance review
  • Review compliant cases in particular those referred by regulatory authorities and deal with the investigation cases
  • Coordinate and provide compliance related training to related and respective PWM/PB staff


  • University degree or above
  • In-depth knowledge of the local PWM/PB regulatory rules and requirements in the banking sector
  • At least 10 years’ solid experiences in the areas of PWM/PB compliance and regulatory requirements
  • Strong self-motivation, able to work under pressure as a self-starter
  • Able to work independently and liaise effectively with the business units and the regulators
  • Strong interpersonal and communication skills
  • Fluency in English, Cantonese and Mandarin

Application Methods:

Interested parties are requested to send their applications with resume stating present and expected salaries to Human Resources Manager, 20/F Bank of America Tower, 12 Harcourt Road, Central, Hong Kong or by email to or by fax to (852) 3111-0801.