AVP Business Compliance (WPB), Chinese Securities

Your new company
A leading Chinese securities firm is seeking a highly motivated Business Compliance AVP to support its expanding Wealth Management, Private Banking, and Financial Markets businesses. This role will serve as a key liaison between the business, Compliance, Legal, and Operations functions to ensure regulatory requirements are effectively implemented while supporting business growth and strategic initiatives.

Your new role

• Partner with business stakeholders to implement regulatory and compliance requirements across Wealth Management, Private Banking, and Financial Markets businesses.
• Provide practical compliance guidance on business activities, client onboarding, product distribution, marketing materials, and client servicing initiatives.
• Assess the business impact of new regulatory developments and coordinate implementation plans with relevant stakeholders.
• Ensure business practices remain aligned with SFC regulations, internal policies, and governance requirements.
• Establish and maintain departmental policies, procedures, governance frameworks, and control standards.
• Monitor compliance with regulatory requirements relating to investor classification, suitability, disclosures, conflicts of interest, and conduct risk.
• Support governance reviews for new products, business initiatives, distribution arrangements, and strategic projects.
• Track regulatory remediation actions, internal audit findings, and control enhancements.
• Review business agreements, distribution agreements, referral arrangements, client documentation, and counterparty contracts from a business and operational perspective.
  • Support documentation and governance processes relating to OTC derivatives and financial markets activities.

What you'll need to succeed

• Bachelor's degree in Law, Finance, Business Administration, Accounting, Risk Management, Compliance, or a related discipline.
• Minimum 5-6+ years of experience in Business Compliance/Regulatory Compliance in Banking/Securities.
• Prior experience within Securities, Private Banking, Wealth Management, Capital Markets, or Financial Markets environments.
• Sound knowledge of Hong Kong SFC regulations, including suitability requirements, investor classification, product governance, disclosures, and conduct standards.
• Experience supporting regulatory implementation, business governance, and cross-functional projects.
• Exposure to financial markets products, OTC derivatives, ISDA documentation, structured products, fixed income, FX, or wealth management products would be highly advantageous.
• Strong stakeholder management skills with the ability to work effectively across business, compliance, legal, risk, and operations teams.
• Excellent analytical, communication, and problem-solving abilities.
• Fluent in English and Chinese is a must.

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 call us now. ([email protected])

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.