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Wealth Management Product Manager (business Compliance And Operational Risk)

Hong Kong, Hong Kong
Last update 2024-07-17
Expires 2024-07-16
ID #2237306267
Wealth Management Product Manager (business Compliance And Operational Risk)
Hong Kong, Hong Kong,
Modified July 10, 2024


Responsibilities: Conduct various business reviews and forecasts through ongoing product and market analysis of Securities & Futures business, especially on regulatory perspectives Formulate relevant compliance strategies, work plans and control measures based on Group policies and relevant regulations, codes, guidelines and/or regulatory manuals of regulatory agencies Assist superiors to implement various compliance and monitoring assurance measures, perform supervision assurance inspections, and report to relevant functional committees and management on time Closely monitor and analyze the risks of non-compliance incidents, coordinate on rectification plans and measures if necessary Assist in and preparing the compliance training program so as to promote the risk awareness and compliance levels Respond to and follow up on inquiries and/or reports from various regulatory parties regarding compliance issues Handle ad hoc projects as assigned by management Requirements: Degree or above with major in Business Administration, Accounting, Finance, Law, or related disciplines Professional certifications in f risk and compliance management such as CAMS, CGSS or ECF on Compliance, Operational Risk and AML/CFT under HKIB will be an asset At least 3 years experience in compliance, internal control, risk management, or internal audit in securities brokerage business Familiar with SFO and relevant rules, codes and guidelines issued by SFC or other relevant regulatory parties Good knowledge of securities products, especially on compliance and risk management perspectives Ability to work independently and work under pressure efficiently Self-motivated, independent, and with excellent interpersonal skills Excellent command of both spoken and written English and Chinese, knowledge in Mandarin preferred

Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: Wealth management product manager (business compliance and operational risk)

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