职位描述
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
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.
Please note that your personal information will be treated in accordance with our Privacy Policy.
