AVP Business Compliance (WPB), Chinese Securities
Core
Business Compliance AVP supporting Wealth Management, Private Banking, and Financial Markets businesses by ensuring regulatory alignment and implementing compliance frameworks.
Role type
Senior IC business compliance officer
Builds
Compliance policies, procedures, and governance frameworks for business growth
Domain
Financial services / Securities / Wealth Management
Required skills
Regulatory compliance implementation, stakeholder management, policy development, risk monitoring, contract review, audit remediation tracking
Preferred skills
OTC derivatives knowledge, ISDA documentation, structured products, fixed income, FX, wealth management products
Technologies
SFC regulations, ISDA documentation
Responsibilities
Partner with business stakeholders to implement regulatory requirements, provide compliance guidance on client onboarding and product distribution, assess business impact of new regulations, ensure alignment with SFC regulations, establish departmental policies and governance frameworks, monitor compliance with investor classification and conduct risk standards, support governance reviews for new products, track regulatory remediation and audit findings, review business and distribution agreements
Seniority
Senior, hands-on IC