Investment Products Compliance Section Head (HK$70K - $90K) (Ref. No.:24591)
Our client, a Leading Bank, is looking for high-caliber person to fill the position
Job Duties
- Set up Investment Products Approval / Products Due Diligence and Regulatory Compliance related issues both for Personal Banking Division and Private Banking Division
- Manage and lead the whole process of review and approval for interpretation and recommendation on existing and new regulatory / product prospectus including Bonds, Mutual Funds, Unit Trust, Investment Products, Structured Products, Equities etc to ensure they comply with the internal policies and the regulatory requirements
- Advise on Investment Products Compliance matters arising from day-to-day operations including Digital Banking Platform
- Develop, modify and execute Investment Products Compliance monitoring programs and ensure that they are in accordance with local regulatory framework as well as the Bank’s policies and procedures
Job Requirements
- University degree holder
- 10 years’ relevant experience with solid Investment Product Compliance experience with coverage in Bonds, Mutual Funds, Unit Trust, Investment Products, Structured Products, Equities with Banking Sector is a MUST
- Familiar with Investment Products Nature, Products Due Diligence, Products Risk, Selling Related Regulation
- A mature, detail-minded and confident team leader with initiative and able to work independently
- Strong analytical, problem-solving skills and able to manage confrontational issues
- Able to exercise judgment, work under great pressure and liaise effectively with the various business units and supporting units
- Excellent command of spoken and written Chinese and English including Cantonese and Putonghua
- Job No.:
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24591
- Date:
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19/02/2021
- Job Category:
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Banking
- Salary:
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$Neg.
- Qualification:
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Degree
- Apply Email:
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[email protected]
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