Compliance Specialist

Job Title: Compliance Specialist
Contract Type: Permanent
Location: Hong Kong
Reference: 1_181217
Contact Name: Gina Hui
Contact Email:
Job Published: April 05, 2018 11:33

Job Description

A Global Bank in Hong Kong is looking for a seasoned compliance specialist who is responsible for product compliance coverage of Wealth Management (“WM”) in the region.


  • Advise Business and Functions on compliance and regulatory issues pertaining to investment, product and suitability area 
  • Identify and control compliance risks, implement monitoring measures where required  
  • Provide regulatory advice, analysis (and challenge when appropriate) in relation to the full product life cycle including product design and documentation through to post sale reviews/ assessments, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), transitional investigations.
  • Develop and maintain suitability policies and procedures in line with local regulatory and internal requirements  
  • Approve or arbitrate on new products and services as a core member of the new products approval process
  • Review product and marketing materials to ensure compliance with regulations and internal requirements
  • Develop and perform surveillance on suitability and market abuse
  • Provide training on compliance issues and promote compliance awareness and culture
  • Participate in project to enhance the controls


  • University degree and/or professional compliance/financial services qualification 
  • At least 8 years compliance experience supporting Wealth management / product compliance
  • Strong understanding of wealth management products e,g structured products, alternative investments, derivatives
  • Ability to analyse relevant laws and regulations and co-relate regulatory issues to products and business models.
  • Attention to detail and strong problem solving skills
  • Team player with good interpersonal and communication skills 
  • Fluent English and Chinese is a MUST