Senior Compliance Specialist, Investment Products
Responsibilities:
- Provide professional compliance advisory to the senior management and business units on Investment Products.
- Perform regular compliance reviews and checking on staff dealing, clients' investment suitability management, individual and corporate licensing.
- Develop, update and review compliance policies and procedures, and ensure that they are in comply with the legal and regulatory requirements.
- Act as the focal point in liaison with local regulators including HKMA and SFC.
- Promote compliance awareness and perform compliance training to the staff
- Perform ad-hoc compliance projects
Requirements:
- University graduate in Finance, Accounting, Laws or other related disciplines
- Minimum 7 years of compliance experience in banking industry, with working experience in Private Banking is a definite advantage.
- Well versed of SFC and HKMA guidelines.
- Good exposure to banking operation with strong knowledge in investment products such as equities, derivatives, structured products etc.
- Analytic, independent and able to work under pressure.
- Good communication and interpersonal skills.
- Excellent command of English and Mandarin with ability to read and write Chinese.
Qualified parties are invited to send their updated CVs in MS Word Format quoting reference 'CPL' to mail@kc-premiere.com
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