Regulatory Compliance Manager

Job details

Location: Hong Kong
Job Type: Permanent
Reference: RCM/NR070520
Posted: about 1 year ago

Job description

  • Minimum 5 years regulatory compliance experience in private banking or wealth management
  • International Financial institution
  • Strong language skills in English and Chinese

Job Description:

  • Provide compliance advice in line with regulatory requirements and ensure business activities and all other operations are in compliance with regulatory requirements and internal policies
  • Provide compliance advice on new product launch, selling practices and markets related inquiries
  • Keep abreast of the latest development of applicable regulatory rules, requirements and environment of the banking industry
  • Assist in attending inquiries from and handling inspection by regulators and Head Office


  • University degree with at least 5 years relevant experience in the compliance function of a bank (preference in private banking or wealth management industry) or good working experience at HKMA, SFC or equivalent regulatory bodies
  • Good knowledge of the operations of the securities markets and  understanding of regulatory requirements governing selling of investment products
  • Have a good knowledge of HKMA or SFC rules/regulations in Hong Kong
  • Team player, independent, hardworking, eager to learn and attention to details
  • Be able to perform multiple tasks with good interpersonal and communications skills; and
  • Good command of English and Chinese

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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