Compliance Manager, Brokerage & Wealth Management, Compliance
Core
Provide regulatory and compliance oversight for International Wealth Management and Listed Warrant Trading activities, assisting in the expansion of overseas wealth management platforms.
Role type
Senior compliance manager (wealth management & insurance)
Builds
Overseas wealth management platforms and compliance operations
Domain
Financial services, wealth management, insurance
Deliverable
client delivery
Required skills
Regulatory interpretation, compliance policy drafting, cross-border team liaison, regional regulatory enquiry management, compliance monitoring, business initiative evaluation, compliance training delivery, regulatory framework improvement
Preferred skills
Post-graduate degree in Business, Accounting, or Law
Technologies
N/A
Responsibilities
Review, update, and draft compliance manuals, policies, and procedures; Provide expert guidance on regulatory interpretation for wealth management and insurance products; Manage regional regulatory enquiries and coordinate responses; Conduct monitoring activities to assess adherence and resolve compliance issues; Evaluate regulatory input on new business initiatives and infrastructure projects; Advise on regional expansion and collaborate with overseas offices; Develop and deliver compliance training sessions; Identify gaps and implement improvements in compliance procedures and frameworks
Seniority
Senior, hands-on IC with strategic expansion support