Description

What you'll do:

As Compliance Manager, you will be entrusted with safeguarding the integrity of the Private Wealth Management operations by providing expert regulatory advice and maintaining rigorous oversight of compliance activities. Your day-to-day responsibilities will involve close collaboration with senior leaders, proactive identification of potential risks, and swift escalation of any issues that arise. You will be instrumental in developing practical solutions for compliance challenges while ensuring that all action plans are implemented effectively. Through regular training initiatives, you will help cultivate a culture of risk awareness among staff members. Your ability to communicate complex regulatory changes clearly will be essential in keeping all stakeholders informed. By supporting additional regulatory functions as needed, you will demonstrate flexibility and commitment to the overall success of the compliance team.

• Provide comprehensive support and regulatory advice to ensure the Private Wealth Management business adheres to all relevant regulatory requirements in Hong Kong.
• Assist the Head of Compliance in managing regulatory risk by implementing effective monitoring plans, measures, and controls tailored to local standards.
• Conduct stringent quality control checks in line with both internal policies and external regulations to mitigate potential risks.
• Identify internal weaknesses, exceptions, or discrepancies promptly and escalate these issues appropriately to relevant stakeholders.
• Propose timely remedial actions or recommendations to address identified compliance gaps within specified time frames.
• Monitor the implementation of action plans related to compliance issues and ensure their effectiveness through regular follow-up.
• Offer pragmatic advice on regulatory matters to business units and senior management, keeping them informed of new rules and changes.
• Maintain up-to-date knowledge of evolving regulatory requirements and communicate these updates clearly across the organisation.
• Deliver training sessions designed to enhance staff awareness of internal controls and recent regulatory developments.
• Support other regulatory functions as required by the Head of Compliance, contributing flexibly across various projects.

What you bring:

• Minimum five years' experience within legal or compliance functions at a bank, ideally within private banking or wealth management sectors.
• Solid working background with HKMA, SFC or equivalent regulatory bodies is highly desirable for this position.
• Comprehensive understanding of HKMA/SFC rules and regulations applicable in Hong Kong's financial industry.
• Demonstrated expertise in regulatory advisory services as well as hands-on experience with compliance surveillance activities.
• Ability to maintain current knowledge of changing regulatory requirements and best practices within the sector.
• Proficiency in IT systems relevant to compliance monitoring along with strong software skills for reporting purposes.
• Excellent command of English; proficiency in Cantonese required; Mandarin language skills considered an advantage.
• Exceptional organisational abilities paired with meticulous attention to detail when handling sensitive information.
• Self-motivated approach combined with proven capacity for independent work while remaining dependable within a team setting.
• Outstanding interpersonal communication skills enabling effective collaboration across departments under strict deadlines.