Address
Responsibilities:
• Provide practical advices to support the ongoing operations and future development of the businesses regarding applicable rules, regulations and regulatory expectations, with special focus on product suitability, investor suitability, fintech and wealth management.
• Establish and maintain Compliance policies and procedures to ensure business operations and practice are consistent with regulatory requirements
• Motivate and drive the business to establish appropriate internal procedures for ensuring business practices are in compliance with internal and external requirements
• Closely follow the development of relevant laws and regulations and provide analysis and highlights to senior Compliance management
• Ensure business staff and management to be updated with the latest regulatory and internal policy requirements by conducting workshops and ad hoc/routine training
• Review new business/product initiatives and provide compliance advices about suitability, licensing requirement, disclosure of interest (DOI) and appropriate business model, and obtain regulators’ approval as required before the rollout of the new services
• Provide relevant and practical guidance about the design and publication of promotional and marketing materials
• Assist internal control functions to conduct independent review on the covered business by coordinating accesses to staff and information
• Closely monitor the business operations and report major developments and issues to fulfill internal and external compliance reporting obligations
• Liaise with regulators and exchange houses to answer regulatory inquiries and coordinate regulatory inspections
• Ad hoc tasks on request
Qualification
• Degree holder (top ranked universities)
• Minimum 5 years of experience in Business Advisory Compliance, Legal or regulators, with extensive exposure in retail banking/ virtual banking/ private wealth management/ brokerage industry
• Well versed with relevant regulations and market practices
• Solid knowledge of laws and regulations applicable to banks or securities firms relating to retail, fintech and wealth management business
• Firsthand experience in interacting with regulators/exchanges and experience in project management
• Mature, thoughtful, strong analytical and problem solving skills with an aptitude for technology
• Proactive and strong team player with strong interpersonal, coordination and communication skills
• Bilingual with proficiency in both Chinese (Mandarin) and English languages
