(Senior) Manager, Wealth Management Compliance

Our client, an established securities firm is looking for experienced compliance manager in wealth management compliance to join the team.

Responsibilities

• Review and update compliance manuals, policies, and procedures to reflect regulatory changes, business needs, new products, and industry best practices.
• Provide regulatory guidance on wealth management products, business initiatives, infrastructure projects, and regional expansion.
• Manage regulatory enquiries and requests, coordinate timely responses, and maintain effective relationships with regulators and overseas offices.
• Conduct compliance monitoring, identify and resolve issues, and recommend improvements to procedures, processes, and regulatory frameworks.
• Develop and deliver compliance training to promote policy awareness and a strong compliance culture across the organisation.

Requirements

• Degree holder with at least 5 years of relevant experience in wealth management compliance within financial services industry, consulting firms or regulatory bodies.
• Sound knowledge of wealth management products and regulatory requirements in Hong Kong.
• Good command of written and spoken English and Chinese.