(Senior) Manager, Wealth Management Compliance

Morgan Mckinley Limited; Hong Kong; On-site; HKD 800,000 - 1,100,000; Full time

Job summary

Mogan McKinley Limited is seeking an experienced Senior Manager in Wealth Management Compliance to lead regulatory compliance efforts for wealth management products and initiatives in Hong Kong. The role focuses on updating manuals, guiding regulatory interpretations, and coordinating responses to inquiries with regulators and overseas offices.

The candidate will monitor compliance, identify issues, and drive improvements across procedures and frameworks while developing training programs to

Qualifications

• 5+ years of wealth management compliance experience.
• Sound knowledge of wealth management products and regulatory requirements in Hong Kong.
• Good command of written and spoken English and Chinese.

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.

Skills

Regulatory knowledge

Wealth management

Education

Degree holder

Job description

(Senior) Manager, Wealth Management Compliance

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.