Job ref no.: CT3119337-01#3345

AVP - Investment Product Compliance, General Compliance


My client is a well-established Corporate Bank in Asia and they are looking for an AVP to join the General Compliance team, mainly be responsible for investment product due diligence and advisory on Policies & Procedures. They offer excellent work-life balance and attractive remuneration (good bonus).

Key responsibilities:

  • Review product due diligence paper, sales materials, and policies & procedures prepared by business units.
  • Provide compliance advice on the sales process and suitability framework for investment products, including FX products, Fixed Income products, Funds, Structured products, OTC Derivatives products, etc. from compliance & regulatory perspective to ensure full compliance with the relevant regulatory requirements.
  • Conduct risk-based compliance reviews according to the annual compliance review plan and assigned special/ad-hoc reviews. Compile compliance review reports to highlight major regulatory compliance issues and risk implications.
  • Identify and evaluate regulatory compliance risk and control issues and provide recommendations for improvement.
  • Update the Compliance policies & procedures and ensure regulatory compliance on Type 1 and 4 regulated activities.
  • Coordinate regulatory onsite and offsite examinations conducted by the regulators on regulated activities.
  • Prepare the regulatory report on compliance as well as other internal and external reports.
  • Handle compliance requests from head office, internal & external auditors.
  • Deliver investment compliance training to relevant Bank's staffs.
  • Review and monitor staff personal account dealing.


  • Degree in business, finance, accounting or related discipline.
  • Minimum 6 years of relevant experience in audit/compliance/compliance review in banking/financial services industry.
  • Strong knowledge of regulatory requirements such as SFO, SFC's Code of Conduct, SFC and HKMA circulars, etc.
  • In-depth knowledge of investment products, including FX products, Fixed Income products, Funds, Structured products, OTC Derivatives products, and other global market products.
  • Proficiency in both English and Chinese, fluency in Mandarin is an advantage.
  • Responsible, detail oriented, well-organized and with good communication skills.

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More job information
Job ref no. CT3119337-01#3345
  • N/A
Job Function
  • 6 years
Career Level
  • Middle management level
  • Degree