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Investment Compliance Assistant 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 Assistant 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 or above in Business Administration, Finance, Laws or related disciplines
  • At least 3 years of banking experience in compliance or risk management
  • Exposure in China financial institutions or with relevant compliance experience is highly preferable
  • Substantial knowledge in regulatory requirements relating to banking industry
  • Analytical, proactive, strong organization skills and good team player
  • Proficiency in both written and spoken English, Chinese and Putonghua

About the job

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Financial Services

Industry: Banking

Salary: Negotiable

Workplace Type: On-site

Experience Level: Associate

Location: Hong Kong

Job Reference: 0U5LJI-3B0D9E2C

Date posted: 12 February 2025

Consultant: Jessie Chan

Phone number: +852 2161 9401

jessie.chan@robertwalters.com.hk

Jessie Chan

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