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Regulatory Compliance Expert

1 week ago

Hong Kong Island, Hong Kong SAR China Projob21 Ltd. Full time
Job Summary

We are seeking a seasoned Regulatory Compliance Expert to join our team as North Asia Regulatory & Product Compliance Director. As a key member of our leadership, you will oversee the development and implementation of regulatory strategies that drive business growth while ensuring compliance with relevant laws and regulations.

Key Responsibilities
  • Lead a team of 2-3 subordinates in providing regulatory advisory services to Senior Management and line managers across FTB Offices in AP and HQ.
  • Collaborate with HKMA and SFC on regulatory matters including notifications, self-assessments, on-site examinations, complaints handling, and regulatory inquiries.
  • Develop and maintain internal policies and procedures related to product offerings, client profiling, outsourcing, insurance referrals, and other business activities.
  • Provide oversight on product due diligence, distribution processes, and marketing materials reviews.
  • Offer compliance advice and recommendations to senior management on potential risks, control enhancements, and regulatory matters.
Requirements
  • Degree holder in Accounting, Business, Legal or related disciplines.
  • 10 years+/- of relevant regulatory & product compliance experience including 3 years from private banking/wealth management or HKMA/SFC regulator.
  • Relevant industry experience in private banking is highly desirable.
  • Strong understanding of HKMA/SFC regulatory requirements.
  • Driven individual with excellent problem-solving capabilities and communication skills.