Description

• Remain informed about the latest legal and regulatory changes while cultivating a culture of compliance awareness.
• Assist the team with product advisory across various product classes, including Wealth Management, Asset Management, Forex, OTC, and Corporate Insurance, along with routine advisory tasks such as product evaluations, marketing material assessments, and cross-border operations.
• Analyze new products and service initiatives in both local and international markets, including the US and Japan, from a regulatory compliance viewpoint.
• Formulate and implement compliance policies and procedures (P&P) along with related guidelines; review and provide insights on P&P, promotional materials, and advertisements created by other departments to ensure conformity with internal and regulatory standards.
• Engage with business units, operations, IT, risk management, auditors, and regulatory bodies on compliance-related matters.

• Bachelor's degree in Accounting, Business, Law, or a related discipline.
• 3+ years' experience in securities or wealth management compliance
• Demonstrated experience in delivering compliance training, crafting policies and procedures, and conducting compliance reviews and investigations.
• Strong knowledge of structured products, such as equities, bonds, and virtual asset-related products, along with a solid understanding of regulations and guidelines issued by the SFC, HKIA, and other regulatory entities.
• Strong ethical principles, integrity, and enthusiasm.
• Excellent leadership capabilities, along with outstanding interpersonal, communication, and presentation skills.
• Proficient in both written and spoken English and Chinese; fluency in Putonghua is advantageous.