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Wealth Management Compliance, VP

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A leading Chinese financial services provider is looking for a wealth management compliance candidate to join its team.

Responsibilities:

  • Advice front line staff on compliance issues and provide necessary guidance to PWM staffs on relevant compliance requirements
  • Act as the main contact person to group Legal and Compliance Department for all relevant matters related to PWM
  • Prepare and review all legal documentation from business perspective
  • Ensure effective implementation and adherence to all compliance policies
  • Draft and/or review all relevant policies and procedures within the business line and provide compliance advice
  • Handle internal and external audit requests
  • Provide training and regulatory updates to front line staffs
  • Perform ad-hoc projects as assigned

Requirements:

  • Degree holder in Business, Finance, Law or other related disciplines
  • Minimum 8 years of compliance experience from financial institutions
  • Sound knowledge in securities laws and regulations
  • Excellent communication and interpersonal skills
  • Strong business sense and problem-solving abilities
  • Detail oriented and able to multi task and work under pressure
  • Proficiency in spoken and written Mandarin and English

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Financial Services

Industry: Financial Services

Salary: Negotiable

Workplace Type: On-site

Experience Level: Mid Management

Location: Central and Western District

Job Reference: NIR4XD-162FC67B

Date posted: 23 October 2024

Consultant: Jessie Chan

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