(Senior) Manager, Wealth Management Compliance

Morgan McKinley; Hong Kong; Presencial; HKD 700.000 - 1.000.000; Jornada completa

Descripción de la vacante

Morgan McKinley seeks an experienced Compliance Manager to join our wealth management compliance team in Hong Kong. You will review and update policies reflecting regulatory changes and business needs, and provide regulatory guidance on wealth management products, initiatives, and regional expansion.

You will also manage regulatory enquiries, conduct monitoring, identify issues, and deliver training to promote policy awareness across the organization.

Formación

• Bachelor's degree in a relevant field or equivalent.
• Minimum 5 years of experience in wealth management compliance or related regulatory roles.
• Solid understanding of Hong Kong wealth management regulations and regulatory expectations.

Responsabilidades

• Review and update compliance manuals, policies, and procedures to reflect regulatory changes and business needs.
• Provide regulatory guidance on wealth management products, initiatives, and regional expansion.
• Manage regulatory enquiries and coordinate responses with regulators and overseas offices.
• Conduct compliance monitoring, identify issues, and propose improvements to procedures and processes.
• Develop and deliver compliance training to promote policy awareness and a strong compliance culture.

Conocimientos

Wealth management compliance

Regulatory knowledge (HK)

English

Chinese

Training delivery

Educación

Bachelor's degree

Descripción del empleo

Our client, an established securities firm is looking for experienced compliance manager in wealth management compliance to join the team.

Responsibilities

• Review and update compliance manuals, policies, and procedures to reflect regulatory changes, business needs, new products, and industry best practices.
• Provide regulatory guidance on wealth management products, business initiatives, infrastructure projects, and regional expansion.
• Manage regulatory enquiries and requests, coordinate timely responses, and maintain effective relationships with regulators and overseas offices.
• Conduct compliance monitoring, identify and resolve issues, and recommend improvements to procedures, processes, and regulatory frameworks.
• Develop and deliver compliance training to promote policy awareness and a strong compliance culture across the organisation.

Requirements

• Degree holder with at least 5 years of relevant experience in wealth management compliance within financial services industry, consulting firms or regulatory bodies.
• Sound knowledge of wealth management products and regulatory requirements in Hong Kong.
• Good command of written and spoken English and Chinese.