Senior Manager, Compliance - Wealth Management Advisory

Hong Kong
Attractive salary to the right candidate
13 Sep 2018
19 Sep 2018
Contract type
Full time

Prime Position Objective:

To assist the Head of Wealth Management Advisory Team to provide compliance training to raise the compliance awareness among staff and to provide compliance advisory support with the aim to ensure the Bank's Compliance with the relevant regulatory requirements.

Duties of the Position:

  • Provide advice, interpretation and recommendation on existing and new regulatory compliance requirements of the current and new Bank's business & operations;
  • Coordinate, undertake and advise business and support units in relation to ad-hoc compliance projects;
  • Track and monitor the Bank's progress in complying with new and change of regulatory requirements and recommendations of regulators;
  • Coordinate and advise business and support units when responding to compliance related enquiries, queries and/or surveys raised / initiated by regulators and industry associations & handle enquiries from regulators;
  • Raise and maintain compliance awareness among staff by providing them with relevant information, publications and training on compliance matters;
  • Assist in the regular management reporting;
  • Take up ad-hoc compliance related projects as designated by management from time to time;
  • Take up ad-hoc assignments, projects and job rotation as designated by Division Head / Senior Management


  • Degree holder in Law, Accounting, Finance or related disciplines
  • Minimum 5 years general audit / compliance experience in banking industry
  • Good knowledge in banking laws, Securities and Future Ordinance, operations, products and services
  • Self-motivated, independent, pleasant personality with good communication skills and able to communicate effectively at all levels
  • Proficiency in using MS Word, MS Excel and MS Powerpoint

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan Tel: (852) 3151 1320 Web:

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