(Senior) Compliance Manager (Wealth Management Compliance)

Bank of China (Hong Kong); Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Benefits offered by this job

Medical insurance

Life insurance

Allowances

Job summary

Bank of China (Hong Kong) is seeking an experienced regulatory compliance professional to advise business units in retail banking and wealth management on investment products, insurance sales, and fintech projects. You will review due diligence, marketing materials and help ensure regulatory alignment.

The role requires a degree in Law/Banking/Finance/Accounting, 5–8 years' experience, strong leadership and bilingual communication (English and Putonghua), with proficiency in Microsoft Office.

Qualifications

• Degree holder in Law, Banking and Finance, Accounting or related disciplines.
• 5–8 years' regulatory compliance and control experience in banking or financial sectors preferred.
• Sound knowledge of wealth management products/services and regulatory requirements.
• Fluent in English and Chinese (Putonghua).

Responsibilities

• Provide regulatory advice to business units on investment and wealth management products and services, insurance and related fintech projects, review product due diligence and marketing materials.
• Support the establishment, implementation and update of compliance policies, procedures, provide trainings across business and operation teams to ensure strict compliance with the Group and regulatory requirements.
• Provide guidance on conduct-related incidents to ensure timely regulator reporting and monitor rectification measures.
• Attend regulators’ enquiries and information requests; coordinate with regulators and internal stakeholders.
• Keep abreast of regulatory developments, guide gap analyses and advise on implementation progress.

Skills

Leadership

Stakeholder management

Analytical skills

Problem solving

Communication skills (English & Putong

Education

Bachelor's degree or above in Law, Banking and Finance, Accounting or related disciplines

Tools

Microsoft Office

Job description

Responsibilities

• Provide professional regulatory advice to business units (retail banking and wealth management teams) on investment and wealth management products and services, insurance sales and processes and related fintech projects, review product due diligence and marketing materials;
• Support the establishment, implementation and update of compliance policies, procedures, provide trainings across business and operation teams to ensure strict compliance with the Group and the regulatory requirements;
• Provide guidance to the business units on the handling of conduct-related incidents to ensure timely reporting to regulators and monitor the implementation of the rectification measures;
• Attend to regulators’ enquiries and information requests in relation to compliance related matters; coordinate with regulators and internal stakeholders as necessary;
• Keep abreast of the latest development of legal and regulatory requirements, guide the business units to conduct gap analysis and provide compliance advice as necessary, monitoring the implementation progress;

Requirements

• Degree holder or above in Law, Banking and Finance, Accounting or related disciplines;
• 5-8 years' relevant experience in regulatory compliance and control experience in banking, financial sectors or regulatory bodies is preferred;
• Sound knowledge in wealth management banking products/services and the relevant regulatory requirements as well as the market practice;
• Good leadership, stakeholder management, analytical and problem-solving skills, excellent communication skills in both English and Chinese (including Putonghua);
• High integrity, self-motivation and ability to work under with pressure in a fast-paced environment;
• Proficiency in using Microsoft office

• We offer competitive remuneration package and comprehensive fringe benefits including medical and life insurance, and different types of allowances to the right candidates.