Job ref no.: CT3130530-01#3225

Senior Compliance Manager, Investment products/Compliance policy

Conners Consulting

Job Description

Our client, a well-reputable and leading bank in HK, is looking for high-caliber person to join their Group.
Responsibilities: -

  • Perform Investment Products Product Due Diligence and Regulatory Compliance related issues
  • Develop, identify and execute compliance monitoring programs and ensure that they are in accordance with local regulatory framework as well as the Bank’s policies and procedures
  • Work closely with the supervisor and other teams within the FCC to review the relevant AML/CFT and Sanctions policies
  • Review and provide recommendation on existing and new regulatory / product prospectus including Wealth Management, Investment Products, Structured Products, Bonds, Accumulators etc. to ensure they comply with the internal policies and the regulatory requirements.
  • Provide advisory on Investment Products Compliance matters arising from day-to-day operations


  • Bachelor's degree in Law, Accounting or relevant discipline
  • At least 8 years of banking experience in Investment Products Product Due Diligence and Regulatory Compliance
  • Knowledge of Banking Ordinance, SFO and the HKMA/SFC rules.
  • Excellent command of spoken and written Chinese and English including Cantonese and Putonghua.

To apply, please send your detailed resume by clicking Apply Now or contact Winnie Lai at 3618 8348 for a confidential discussion.

Only shortlisted candidates will be notified.

Applicants who are not contacted within two weeks may consider their applications unsuccessful.

All data collected will be used for recruitment purpose only & will be used strictly confidential.
Conners Consulting Limited

2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong


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More job information
Job ref no. CT3130530-01#3225
Job Function
Employment Term
  • Permanent
  • Full-time
  • 8 years - 13 years
Career Level
  • Middle management level
  • Degree