VP Wealth Management Compliance (Rolling Contract)
Taylor Root
Job Description
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
Qualification:
*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
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