Your new company A leading regional bank with a strong footprint across Asia, offering comprehensive private banking and wealth management services. The institution is committed to maintaining the highest standards of compliance and governance.
Your new role As the Team Lead for Investment Compliance within the Private Banking division, you will oversee compliance frameworks for investment products and advisory activities. Responsibilities include managing regulatory risk, reviewing policies and procedures, supervising a team, and ensuring adherence to local and international regulations. You will act as a key advisor to business units and senior management on compliance matters.
- Oversee compliance framework for investment products and advisory activities within Private Banking
- Review and approve marketing materials, investment proposals, and product documentation to ensure regulatory compliance
- Monitor adherence to SFC, HKMA, and global regulatory requirements; manage regulatory reporting and audits
- Provide compliance advisory to front office on investment suitability, cross-border regulations, and client onboarding
- Lead and mentor the compliance team, ensuring effective implementation of policies and procedures
What you'll need to succeed - Minimum 8 years of compliance experience in private banking or wealth management, with strong knowledge of investment products
- Proven leadership skills and ability to manage a team effectively
- Solid understanding of regulatory requirements (SFC, HKMA) and global compliance standards
- Excellent communication and stakeholder management skills
What you need to do now If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to rowina.lo@hays.com.hk
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.