Due Diligence (Private Banking)

I’m looking for a Product Due Diligence Lead for my client, a leading private bank in the Asia-Pacific region.

Responsibilities

1. Conduct thorough due diligence on new and existing products, maintaining complete documentation and appropriate approval evidence.
2. Maintain a consistent, trackable audit trail for all Private Banking product reviews.
3. Assemble structured review materials for governance forums, summarizing key considerations, risks, and proposed mitigations.
4. Set and uphold HK product governance requirements, ensuring advisory/product lists are correct and aligned with local regulatory expectations
5. Review key product communications and materials (e.g., investment publications and monthly pitchbooks) to ensure only approved offerings are referenced and that product risk indicators remain current.
6. Coordinate the product approval workflow, ensuring robust supporting documentation and alignment across relevant stakeholders.
7. Track product lifecycle changes (e.g., removals, downgrades, or risk-rating updates) and ensure Front Office is informed promptly to support client communications.
8. Facilitate internal audit, regulatory, and compliance activities by ensuring documentation quality is high and responses are timely.
9. Keep abreast of market developments and regulatory updates that could impact product suitability or risk classification.

Requirements:

1. Cantonese is MANDATORY
2. Relevant professional designations (e.g., CFA, CPWP or equivalent) are a plus.
3. > 10 years’ experience in banking or financial services, including a minimum of 5 years in investment product–related roles.
4. Solid understanding of investment products (e.g., bonds, funds, structured products), product risk frameworks, and regulatory expectations for product governance.
5. Demonstrated experience delivering product due diligence, supporting product approval decisions, and performing ongoing product reviews in a regulated setting.
6. Strong advantage for candidates with experience navigating multiple regulators across jurisdictions (e.g., HKMA/SFC/MAS).

If you are interested in finding out more about this career opportunity, please email your resume to Wanny Soh, [email protected]