Job Description

This is an exciting opportunity to join a leading bank in Hong Kong in their growing compliance department. You will be looking after compliance matters for investment products (e.g. funds, bonds, structured, products, FX, etc.). You will need to have strong product knowledge and understanding of the selling process. Experience working with digital initiatives and products for a banking platform is ideal.

Key responsibilities

  • Provide compliance advice to the banking business to ensure full compliance with regulatory requirements and group standards.
  • Study the new regulations / consultation papers issued by regulatory bodies and assist in fostering the compliance culture of the bank.
  • Support Global/Regional Compliance Projects.
  • Review policies, procedures, materials and product proposals, as well as business initiatives.

Key requirements

  • A recognized University degree in Accounting, Law, Risk Management, and/or related discipline.
  • Minimum of five years’ experience in compliance, audit or related field, with exposure to retail banking and wealth management services an advantage.
  • Sound knowledge of rules, regulations and statutory requirements from Hong Kong Monetary Authority, Securities & Futures Commission, Office of the Commissioner of Insurance and other regulatory bodies.
  • Strong self-motivation, with good communication, interpersonal, analytical and presentation skills.
  • Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes.
  • Strong knowledge of investment products (funds, bonds, structured products, FX, etc.)

If you would like to apply for this role or find out more, please contact Megan Craighead at Robert Walters on 2103 5377 quoting the Job Reference QPD/. Find out more Legal & Compliance job opportunities or information, visit our website