Sr. Mgr, Regulatory Compliance

Location: Hong Kong City
Job Type: Permanent
Industry: Retail & Corporate Banking
Reference: 33460
Job Published: November 02, 2020
  • SFC Type 1&4 exp. is a must.
  • Central/ Regulatory compliance.
  • Licensing exp. in wealth mgt line at licensed bank.



Our client is a vibrant Fintech group in Hong Kong with strong partnership with well-established corporations in banking, investment management, corporate financial advisory services, etc.



  • Provide compliance and control support to wealth management business in VB
  • Handle EO application and regulated activities licensing issues
  • Assist to establish and maintain sound wealth management compliance framework
  • Monitor wealth management regulatory developments and communicate with relevant staff in the VB to implement appropriate compliance rules and standards
  • Review wealth management business initiatives from compliance perspective
  • Establish and perform regular review on compliance related policies and procedures
  • Provide compliance training and promote compliance awareness among the Bank staffs
  • Coordinate compliance related regulatory enquiries, reporting, on site and off site
  • Handle ad-hoc projects assigned by the Head of Compliance from time to time



  • Degree or above in Law, Risk Management, Business Administration or related disciplines, preferably with relevant qualification (e.g. CPA, ACCA, FRM, CAMS, etc.)
  • At least 8 years’ experience in compliance/risk management role of a banking or financial institution
  • Sound knowledge in rules and regulations from the HKMA and SFC
  • Familiar with retail wealth management banking including investment and insurance products
  • Experience in interacting with regulatory bodies (e.g. HKMA, SFC)
  • Excellent written and verbal communication skills in English, Cantonese and Mandarin
  • Detail-oriented, analytical and ability to identify potential issues and solutions
  • Have passion to work in VB dynamic environment


Please note that only shortlisted candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes.