- Experienced compliance professionals in asset and wealth management with expertise in (i) compliance risk management; (ii) establishing, implementing, monitoring and reviewing compliance policies, procedures and standards to ensure the adherence of businesses to relevant regulatory requirements; (iii) handling requests from regulators; and (iv) providing compliance advice and training to management and operational departments.
Financial Services
Compliance in Asset and Wealth Management Professionals (Equities,Fixed Income, Investment Banking)
Description of Tasks
Minimum Requirements
- A relevant bachelor's degree in commerce, finance, business administration, economics, accounting, law or other relevant programmes and received on-the-job training and industry courses and programmes.
- At least 3 years of relevant compliance experience in asset and wealth management firms or professional firms specialised in asset and wealth management; knowledge in finance and relevant rules, regulations and guidelines of regulatory authorities including those of Hong Kong; and relevant language skills.
Compliance, Assistant Vice President (Product Compliance Advisory (Equities,Fixed Income, Investment Banking))
Monthly Salary
$75,000
$75,000
Compliance, Vice President / Senior Vice President (Product Compliance Advisory (Equities,Fixed Income, Investment Banking))
Monthly Salary
$125,000
$125,000
Compliance, Executive Director (Product Compliance Advisory (Equities,Fixed Income, Investment Banking))
Monthly Salary
$167,000
$167,000
Compliance, Managing Director (Product Compliance Advisory (Equities,Fixed Income, Investment Banking))
Monthly Salary
$208,000
$208,000