Senior Vice President, Investment Product Compliance(WM) Senior Vice President, Investment Product  …

Morgan McKinley
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Morgan McKinley
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Senior Vice President, Investment Product Compliance(WM)
Attractive senior investment compliance opening in a leading bank in HK, team leader of 3 staff, this position will be work closely with the front office staff and the business

Job Responsibilities:
  • Formulate and implement work flows to streamline product approval process and to formulate investment products risk guidelines approved for retail distribution.
  • To work with PB Division Risk & Compliance Team to set up and maintain sound investment product suitability framework and system logic for online offering platform
  • To ensure product suitability framework is in line with all relevant product regulatory requirements and ongoing regulatory development for retail channel.
  • To monitor the quality of product due diligence and to assess the appropriateness of assigned product risk ratings for retail customer distribution.
  • To identify gaps, enhance and perform regular reviews on work flows of conducting product due diligence, risk classification, approval application, on-going review and product compliance related matters.
Job Requirements:
  • University graduate with strong academic background, preferably obtained relevant professional qualifications (CFA and CFPCM preferable).
  • Minimum of 10 years of relevant working experiences, preferably with exposure in the business of retail investment product distribution
  • Thorough understanding of product due-diligence, risk assessment and selling related regulatory requirements
  • Good analytical, presentation and interpersonal skills with experience of cross departmental projects
  • Experience of carrying out product due-diligence or development will be advantageous
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