Senior Manager/Manager, Compliance Advisory

2 weeks ago

hong kong, Hong Kong SAR China ZA Full time

Senior Manager/Manager, Compliance Advisory We are seeking a highly skilled and experienced Senior Manager/Manager, Compliance Advisory to join our dynamic team in Hong Kong. This role will primarily focus on providing compliance advisory services for our retail banking and wealth management business, ensuring adherence to regulatory requirements and internal policies. Key Responsibilities Provide expert advice on compliance matters related to retail banking and wealth management products, ensuring alignment with Hong Kong regulatory requirements (e.g., SFC, HKMA). Monitor and interpret regulatory updates, assess their impact on business operations, and implement necessary changes. Develop, review, and enhance compliance policies, procedures, and controls specific to retail banking and wealth management businesses. Conduct regular training sessions to ensure staff awareness and adherence to compliance standards. Identify, assess, and mitigate compliance risks associated with the business and operational activities. Perform compliance risk assessments and audits, and provide actionable recommendations. Act as the primary compliance contact for the businesses, offering timely and practical advice on complex compliance issues. Collaborate with internal stakeholders, including Legal, Risk, and Operations, to ensure a cohesive approach to compliance. Prepare and present compliance reports to senior management and regulatory bodies as required. Monitor and report on key compliance metrics, ensuring transparency and accountability. Qualifications Bachelor’s degree in Law, Finance, Business, or a related field. Advanced degrees or professional certifications (e.g., CAMS, CFA) are a plus. Minimum of 7-10 years of experience in compliance advisory roles within the banking or financial services industry, with a focus on retail banking and wealth management business. In-depth knowledge of Hong Kong regulatory frameworks and industry best practices. Strong analytical, problem‑solving, and communication skills. Proven ability to manage multiple priorities in a fast‑paced environment. Mandatory Reference Checking Scheme Mandatory Reference Checking Scheme (MRC Scheme) may be applicable for certain relevant positions. It is a standardised reference‑checking arrangement that is designed to support the integrity of “authorized institutions” regulated by the Hong Kong Monetary Authority (HKMA). Pursuant to the MRC scheme, our Bank will conduct a mandatory reference check by requesting information from each relevant former and current employer of applicants. For more details about the MRC Scheme, please visit the website of the Hong Kong Association of Banks: Application Note Applicants who are not invited for an interview within the 8 weeks after submission of application may assume their applications unsuccessful. We may review applications received for suitability for other posts within the Company. All personal data provided will be treated in strict confidence and used strictly for recruitment‑related purposes only. We shall retain the personal data of unsuccessful applicants for a period of 24 months upon receipt of such application. Seniority Level Mid‑Senior level Employment Type Full‑time Job Function Legal and Project Management #J-18808-Ljbffr

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