Associate Director, Wealth Management Compliance, Compliance

Position Overview

We are seeking an experienced compliance professional to join our Wealth Management Compliance team. Reporting to the Head of Retail Brokerage and Wealth Management Compliance, this role provides regulatory and compliance oversight for the CSI Wealth Management business and Listed Warrant Trading activities.

Key Areas of Responsibilities

• Regulatory Advisory: Provide expert guidance on regulatory interpretation and compliance matters, with a focus on wealth management and insurance business.
• New Business Initiatives: Review and advise on global expansion and infrastructure projects from both regulatory and best practice perspectives.
• Policies & Procedures: Assess and update compliance procedures as required; draft new policies in response to changes in regulations or business operations.
• Monitoring & Review: Lead and guide team members in compliance monitoring to assess ongoing adherence to key regulatory requirements.
• Regulatory Engagement: Manage enquiries and maintain effective relationships with regulators.
• Training: Develop and deliver compliance training sessions to business units.
• Incident & Breach Management: Oversee investigation and remediation of regulatory breaches or compliance incidents, ensuring timely reporting to regulators and implementation of corrective actions.
• Management Reporting: Prepare and present compliance reports, regulatory updates, and key risk indicators to senior management and relevant governance committees for informed decision-making.

Requirements

• Master’s degree (preferred) in business, accounting, or law; equivalent qualifications considered.
• Minimum of 10 years’ relevant experience in financial services compliance, internal audit, securities exchange, or regulatory roles.
• Strong knowledge of Hong Kong regulatory requirements and compliance frameworks.
• In-depth familiarity with wealth management and insurance businesses.
• Excellent analytical skills, attention to detail, and problem-solving abilities.
• Effective communication skills in English; Cantonese and Mandarin are advantageous.
• Proven ability to work collaboratively, with self-motivation and a strong sense of ownership.