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Investment and Insurance Compliance Manager

Job Title: Investment and Insurance Compliance Manager
Contract Type: Permanent
Location: Hong Kong
Industry:
Reference: 02_041218
Contact Name: Michelle Yau
Contact Email: michelleyau@aquissearch.com
Job Published: December 04, 2018 15:06

Job Description

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

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