Compliance Manager, Wealth Management

Black Swan Group
Hong Kong
04 Sep 2017
11 Sep 2017
Contract Type

Compliance Manager


  • Provide compliance advice to business, product team and back office
  • Provide update to the relevant department and update the company policy in the light of regulatory update
  • Participate in system enhancement project to ensure compliance with the regulatory requirement
  • Provide support on product compliance in regards of new product launch / review of marketing material
  • Design and perform new / ad hoc compliance review to ensure the company complies with the relevant regulatory requirements and the internal requirements
  • Review and approve compliance review reports to ensure deficiencies are rectified and escalated to the relevant departments
  • Assist Head of Compliance in providing compliance support on ad hoc projects
  • Arrange compliance refresher training to internal staff



  • University degree holder
  • Minimum 5 years of solid experience in compliance gained in securities companies or banking industry
  • Good understanding of applicable laws and regulations, including those associated with brokerage and wealth management business
  • Good understanding of business and operation processes
  • Strong communication and interpersonal skills
  • Excellent compliance sense
  • Able to carry out compliance testing independently with minimal direction
  • Able to analyze problems with suggested solutions
  • Willing to learn and keep update of regulatory changes 
  • Strong communication skills with business partners/key stakeholders and external parties such as auditors and regulators
  • Good interpersonal skills, project management experience and ability to influence change with other team members
  • Able to meet tight deadlines and handle high pressure
  • Proven organization skills with strong attention to details
  • A good team player and able to work independently