Compliance Advisory VP (Wealth Management) - Reputable FI

Job Description

Our client is a licensed corporation currently seeking for a Compliance Manager focusing on their wealth management business. Ideally you will have solid WM Compliance experience in either 1.5 or 2LOD. Key Responsibilities: • Oversee the development, implementation, and maintenance of compliance programs in accordance with Hong Kong regulations, including those set by the Securities and Futures Commission (SFC). • Monitor regulatory changes and assess their implications on the firm’s wealth management practices. • Conduct compliance reviews and risk assessments to identify and mitigate potential compliance issues. • Provide guidance and training to staff on compliance policies and practices. • Prepare and submit necessary compliance reports to senior management and regulatory authorities. • Collaborate with internal stakeholders to foster a culture of compliance throughout the organization. • Act as the primary liaison with regulatory bodies during audits and inspections. Show More