Section Head, Investment Product Compliance

3 days left

Captar Partners
Hong Kong, Hong Kong
HKD900000 - HKD1200000 per annum
May 25, 2021
Jun 24, 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
  • Reporting to business
  • Great salary increment
  • Great working culture
company overview.
This well-reputed local bank is looking for seasoned compliance talent focusing on investment product compliance as the section head. You will be leading 3 subordinates.

job scope.
As the Section Head, Product Compliance in a well-reputed local bank, your key responsibility will be:
  • To act as the center of excellence for investment product compliance for Personal Banking Division.
  • To formulate and implement work flows to streamline product approval and to formulate detailed risk disclosure guidelines for investment products approved for retail distribution.
  • To provide product sales guidance for target customer segment.
  • To work with Personal Banking Division Risk & Compliance Team to set up and maintain sound investment product suitability framework and system logic for online offering platform (i.e. Cyberbanking).
  • To ensure product suitability framework is in accordance with all relevant product regulatory requirements and ongoing regulatory development for retail channel.
  • To work closely with relevant Divisions/Departments on product due-diligence and product-related matters.
  • To assist the department in keeping abreast of all relevant regulatory requirements and assessing the impact on business and operation.
  • To monitor the quality of product due diligence and to assess the appropriateness of assigned product risk ratings for retail customer distribution.
  • To identify gaps, enhance and perform regular reviews on work flows of conducting product due diligence, risk classification, approval application, on-going review and product compliance related matters.

  • University graduate with strong academic background, preferably attained relevant professional qualifications (CFA and CFPCM preferable).
  • Minimum of 10 years of relevant working experiences, preferably with exposure in the business of retail investment product distribution
  • Technical knowledge on major investment products, including equity or currency linked structured products, mutual funds, corporate bonds and common option strategies
  • Thorough understanding of product due-diligence, risk assessment and selling related regulatory requirements
  • Good analytical, presentation and interpersonal skills with experience of cross departmental projects
  • Experience of carrying out product due-diligence or development will be advantageous
  • A team player with good risk awareness and willing to work under pressure
  • Good command of spoken and written English and Chinese.

If you're interested in this role, please click 'apply now'. Alternatively, for a confidential discussion on this role or to find out more opportunities in Compliance, please contact Cathleen Chen at +852 3653 5247 or via