(Senior) Manager, Wealth Management Compliance
Core
Review and update compliance manuals, policies, and procedures; provide regulatory guidance on wealth management products and initiatives; manage regulatory enquiries and relationships with regulators.
Role type
Senior Manager, Wealth Management Compliance
Builds
Regulatory frameworks and compliance culture for a securities firm
Domain
Financial Services / Wealth Management / Regulatory Compliance
Required skills
Wealth management compliance expertise, Regulatory knowledge (Hong Kong), Policy and procedure development, Regulatory liaison, Compliance monitoring, Training delivery
Preferred skills
Experience in consulting firms or regulatory bodies
Technologies
N/A
Responsibilities
Review and update compliance manuals, policies, and procedures; Provide regulatory guidance on wealth management products and business initiatives; Manage regulatory enquiries and coordinate responses; Conduct compliance monitoring and recommend process improvements; Develop and deliver compliance training
Seniority
Senior, Management