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Senior Vice President, Investment Product Compliance(WM)

Job Seekers Hong Kong SAR China Compliance Financial Services - Fund Services

Job Summary

  • Hong Kong
  • Permanent
  • BBBH776503
  • Mar 09, 2021
  • HK$81k -90k pm
Job Description

Attractive senior investment compliance opening in a leading bank in HK, team leader of 3 staff, this position will be work closely with the front office staff and the business

Job Responsibilities:

  • Formulate and implement work flows to streamline product approval process and to formulate investment products risk guidelines approved for retail distribution.
  • To work with PB Division Risk & Compliance Team to set up and maintain sound investment product suitability framework and system logic for online offering platform
  • To ensure product suitability framework is in line with all relevant product regulatory requirements and ongoing regulatory development for retail channel.
  • To monitor the quality of product due diligence and to assess the appropriateness of assigned product risk ratings for retail customer distribution.
  • To identify gaps, enhance and perform regular reviews on work flows of conducting product due diligence, risk classification, approval application, on-going review and product compliance related matters.

Job Requirements:

  • University graduate with strong academic background, preferably obtained relevant professional qualifications (CFA and CFPCM preferable).
  • Minimum of 10 years of relevant working experiences, preferably with exposure in the business of retail investment product distribution
  • Thorough understanding of product due-diligence, risk assessment and selling related regulatory requirements
  • Good analytical, presentation and interpersonal skills with experience of cross departmental projects
  • Experience of carrying out product due-diligence or development will be advantageous


Consultant Details

Consultant Details

Joanne Lee
  • Managing Consultant | Legal, Risk & Compliance Recruitment
  • +852 3907 3970