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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
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