Job Description - AVP Business Compliance (WPB), Chinese Securities
Your new company A leading Chinese securities firm is seeking a highly motivated Business Compliance AVP to support its expanding Wealth Management, Private Banking, and Financial Markets businesses. This role will serve as a key liaison between the business, Compliance, Legal, and Operations functions to ensure regulatory requirements are effectively implemented while supporting business growth and strategic initiatives.
Your new role
Partner with business stakeholders to implement regulatory and compliance requirements across Wealth Management, Private Banking, and Financial Markets businesses.
Provide practical compliance guidance on business activities, client onboarding, product distribution, marketing materials, and client servicing initiatives.
Assess the business impact of new regulatory developments and coordinate implementation plans with relevant stakeholders.
Ensure business practices remain aligned with SFC regulations, internal policies, and governance requirements.
Establish and maintain departmental policies, procedures, governance frameworks, and control standards.
Monitor compliance with regulatory requirements relating to investor classification, suitability, disclosures, conflicts of interest, and conduct risk.
Support governance reviews for new products, business initiatives, distribution arrangements, and strategic projects.
Track regulatory remediation actions, internal audit findings, and control enhancements.
Review business agreements, distribution agreements, referral arrangements, client documentation, and counterparty contracts from a business and operational perspective.
Support documentation and governance processes relating to OTC derivatives and financial markets activities.
What you'll need to succeed
Bachelor's degree in Law, Finance, Business Administration, Accounting, Risk Management, Compliance, or a related discipline.
Minimum 5-6+ years of experience in Business Compliance/Regulatory Compliance in Banking/Securities.
Prior experience within Securities, Private Banking, Wealth Management, Capital Markets, or Financial Markets environments.
Sound knowledge of Hong Kong SFC regulations, including suitability requirements, investor classification, product governance, disclosures, and conduct standards.
Experience supporting regulatory implementation, business governance, and cross-functional projects.
Exposure to financial markets products, OTC derivatives, ISDA documentation, structured products, fixed income, FX, or wealth management products would be highly advantageous.
Strong stakeholder management skills with the ability to work effectively across business, compliance, legal, risk, and operations teams.
Excellent analytical, communication, and problem-solving abilities.
Fluent in English and Chinese is a must.
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now. ([email protected])
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.
All Job Ads are subject to GrabJobs’s Terms of Service. We allow users to flag postings that may be in violation of those terms. Job Ads may also be flagged by GrabJobs moderation team. However, no moderation system is perfect, and flagging a posting does not ensure that it will be removed.
Be the first to receive the latest Others Full-Time Jobs in Hong Kong.
Setup your job alert:
By activating job alerts, I agree to GrabJobs Terms & Privacy Policy. I can unsubscribe to job alerts anytime.
Skip
GrabJobs is the no1 job portal in Hong Kong, connecting you to thousands of jobs fast!
Find the best jobs in Hong Kong, apply in 1 click and get a job today!