Regulatory Compliance Lead, Wealth Management

ELE Bank Limited

Hong Kong

On-site

HKD 600,000 - 1,000,000

Full time

3 days ago

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Job summary

Airstar Bank in Hong Kong seeks an Assistant Manager, Regulatory Compliance to support the development and enforcement of the bank's compliance framework for wealth management and investment activities.

You will provide risk-based guidance to business units, monitor HKMA, SFC and IA developments, and assist in regulatory change programs, product reviews and disclosures to ensure regulatory alignment and robust controls.

Qualifications

Degree in Law, Finance, Accountancy, Business Admin or similar.
Professional qualifications in compliance, investment, securities or insurance are an advantage.
3–5 years’ relevant experience in compliance, audit, risk management, or related fields.
Strong knowledge of HKMA, SFC and IA requirements for wealth management.
Fluent in English and Chinese; Putonghua preferred.

Responsibilities

Assist in developing and maintaining the Bank’s compliance framework, policies and control standards relating to wealth management and investment activities.
Provide timely, practical and risk-based compliance advice to relevant business functions.
Monitor regulatory developments and market practices from HKMA, SFC and IA.
Support implementation of regulatory changes, including gap analyses and updating policies and procedures.
Review and provide compliance clearance for wealth management products and related disclosures.