AVP, Wholesale Wealth Management Compliance (Financial Institution Department)
Core
Ensure regulatory compliance, conduct risk assessments, and develop policies for Wing Lung Bank's wholesale wealth management business and platform.
Role type
Senior IC compliance officer (wholesale wealth management)
Builds
Internal compliance policies and procedures for the bank's wholesale wealth management platform
Domain
Banking / Financial Services / Regulatory Compliance
Required skills
Regulatory compliance expertise, risk assessment, policy development, training delivery, monitoring and reporting, customer protection, cross-functional collaboration
Preferred skills
Experience in distribution business compliance, familiarity with Hong Kong financial market laws
Technologies
N/A
Responsibilities
Ensure strict adherence to SFC, HKMA, and other regulatory regulations; Conduct risk assessments on products and services; Develop and update internal policies and procedures; Provide compliance training to frontline teams; Monitor daily operations and report compliance status; Ensure fair treatment of customers and appropriate product recommendations; Collaborate with legal and risk management departments
Seniority
Senior, hands-on IC