Business Advisory Compliance (Fintech and Wealth Management)

This leading financial services company is seeking an experienced business advisory compliance professional to join a small team to focus on fintech and retail / private wealth management businesses. This key role will :

• Liaise with the SFC and other regulatory bodies, including handling regulatory investigations, inquiries and complaints, preparing compliance reporting to regulators and coordinating regulatory onsite / offsite reviews
• Provide practical advices to business units on laws, rules and regulatory requirements to support the ongoing operations and future development of the businesses
• Establish and maintain Compliance policies and procedures to ensure compliance with regulatory requirements
• Provide regular training to colleagues on regulatory and internal policy requirements
• Review new product initiatives and provide compliance advices about regulatory / licensing requirements, and obtain regulators approval as required before the rollout of the new services

Qualification :

To qualify, you need to have a  University degree or above from top ranked universities with :