VP Wealth Management Compliance (Rolling Contract)

  • Location
    Hong Kong
  • Contract Type
  • Posted
  • Start Date
  • Industry
    Financial Services (In-house)
  • Expiry Date

Key Responsibilities:

*Providing compliance advice to support the ongoing development of the wealth management business regarding applicable rules, regulations and regulatory expectations, with a focus on product suitability

*Assisting on licensing requirement, disclosure of interest (DOI) and reviewing on marketing materials

*Being one of the key contact points between the regulators and the firm to handle regulatory inquiries and regulatory inspections and investigations


*University degree or above from repuatable universities

*Minimum of 5 years of experience in Compliance in retail banking/ virtual banking/ private wealth management/ brokerage industry

*Proficiency in Chinese (Mandarin and Catonese) and English

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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