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Investment Compliance Manager - Retail Banking

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A retail bank is seeking for a seasoned professional to join their compliance team as an Investment Compliance Manager.

Responsibilities:

  • Provide regulatory advice and guidance on rules and regulations focus on Investment and Insurance
  • Design, implement, and maintain robust compliance programs aligned with bank policies and regulatory requirements
  • Collaborates with other business units to review compliance issues in order to address and meet regulatory or business changes
  • Serve as a primary liaison with regulatory bodies such as HKMA, SFC, and IA
  • Conducts regular compliance reviews, complaint investigations and internal compliance training

Qualifications:

  • Bachelor's degree in Business Administration, Finance, Business Law, or a related field
  • 5 years of experience in investment and insurance compliance within the banking sector
  • Substantial knowledge in regulatory requirements relating to banking industry
  • Strong analytical skills, proactive mindset, and excellent organizational abilities
  • Team-oriented approach with effective communication skills
  • Fluency in both English and Chinese (written and spoken); Proficiency in Mandarin is a plus

About the job

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Financial Services

Industry: Banking

Salary: Negotiable

Workplace Type: On-site

Experience Level: Mid Management

Location: Central and Western District

Job Reference: 0U5LJI-3B0D9E2C

Date posted: 13 August 2024

Consultant: Jessie Chan

Phone number: +852 2161 9401

jessie.chan@robertwalters.com.hk

Jessie Chan

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