Investment and Insurance Compliance Manager

Location: Hong Kong
Job Type: Permanent
Reference: 02_041218
Sector: Compliance

Our client is a leading corporate and retail bank. They’re now looking for a Wealth Management Compliance professional to join them

Responsibilities:

  • Advising mainly on issues relating to selling of investment products, staff dealing activities, licensing and new business initiatives
  • Reviewing selling documents, internal policies and procedures and compliance training materials
  • Acting as contact point between regulators and the firm and handling their enquiries
  • Following up any gap identified with business stakeholders on the latest regulatory development and providing compliance advice

Requirements:

  • Minimum 5 years relevant compliance experience