Investment Compliance Manager
1 week ago
Investment Compliance Manager (Private Banking) Regional Private BankGreat Working CultureGreat Remuneration Package Company overview. This Regional PrivateBankis looking for a seasoned compliance talent to join their team focusing on investment compliance (including but not limited to product due diligence, selling process and the like).You will be joining a team of 5. Great remuneration package and great working culture will be provided. Job scope. Deliver authoritative, commercially astute guidance on all compliance matters to Private Banking leadership, relationship managers and front-office teams, with particular emphasis on selling practices, suitability and suitability obligations. Provide specialist oversight and challenge of the end-to-end client investment process, ensuring robust controls around product recommendation, client risk profiling, needs-based selling and best-practice standards. Lead and critically assess product due diligence processes for the full suite of private banking investment offerings, confirming rigorous adherence to suitability, product governance and disclosure requirements. Design, implement and monitor controls and surveillance frameworks that promote fair client outcomes and prevent mis-selling risks across wealth management activities. Contribute expert insight to enterprise-wide compliance reviews, thematic monitoring programmes and regulatory inspections. Drive and coordinate strategic compliance projects from inception through to successful implementation. Undertake additional high-impact assignments and initiatives as directed by senior management. Requirements. Holds a university degree (or higher) in Law, Business Administration, Finance, or a closely allied discipline. Brings a minimum of five years’ hands-on compliance experience within the private banking or wealth management sector of licensed financial institutions in Hong Kong, with specific depth in selling-practice oversight, suitability assessments and mis-selling prevention. Possesses deep knowledge of investment products and a comprehensive command of the evolving regulatory landscape in Hong Kong. Demonstrates exceptional communication and stakeholder-management capabilities, with proven ability to influence relationship managers and senior business heads on best-practice selling behaviours. Is fluent in both written and spoken English and Chinese (Cantonese and Mandarin) to a professional standard. If you believe you meet the above requirements and have the passion and drive to excel in this role, we invite you to submit your application. We apologies that only shortlisted candidates will be contacted. Please click the 'Apply' button below or send through your most updated CV to .We apologies that only shortlisted candidates will be contacted. Still considering? Contact Cathleen Chen on for confidential discussion about it, we are always happy to help. #J-18808-Ljbffr
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