Investment Compliance Manager - Retail Banking

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