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Wealth Management compliance, Team Head

Robert Walters Hong Kong
Hong Kong, Hong Kong
Closing date
Sep 28, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
An exciting opportunity with one of the largest banking group in Asia, with strong business segments in retail banking, commercial banking and wealth management. They are looking for a team head to lead the I&I team.

Job Responsibilities:
* Lead a team in providing compliance advisory to business units regarding regulatory compliance issues on wealth management products/services, including policies and procedures, compliance manuals, new products and business propositions
* Conduct gap analysis and recommend actions for new regulatory requirements in relation to Investment and Insurance businesses
* Review proposals for new products, policies, procedures, and marketing materials
* Monitor and check Investment and Insurance sales process to ensure compliance with regulations
* Conduct compliance training for staff in accordance with local regulations and the Bank's policies and training objectives

Job requirements:
* Bachelor degree in Business Administration, Risk Management, Law, or related disciplines
* At least 8 years' experience in regulatory compliance, preferably in banking, financial sectors or regulatory bodies, with at least 2 years of supervisory experience
* Sound knowledge in investment and/ or insurance products, regulatory requirements and the market practices
* Good analytical, interpersonal and communication skills with flexibility and adaptability to changes
* Good command of both written and spoken English and Chinese

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