- Provide compliance advice in line with regulatory requirements and ensure business activities and all other operations are in compliance with regulatory requirements and internal policies
- Provide compliance advice on new product launch, selling practices and markets related inquiries
- Review and submit regulatory registration of staff
- Handle regulatory requests and enquiries except AML, complaints and investigatory matters
- University graduated in Finance, Business Administration or relevant disciplines.
- Minimum of 8 years of experience in regulatory compliance in private bank or regulators
- Familiar with regulations (e.g. HKMA, SFC)
- Self-motivated and can be a good team player.
- Excellent communication skills, written and verbal, in English and in Chinese