Job ref no.: CT3129381-01#0086
Captar Partners

Team Lead, Wealth Management Compliance

Captar Partners

  • Attractive package with work
  • Great working culture
  • Team Management role

Job Description:

company overview.
This well-known regional bank is looking for a seasoned Team Leader to lead 2 people in their product compliance team to act as the center of excellence for investment product compliance for Personal Banking Division.

Job Scope:
As the team leader leading the product compliance team, your key responsibility will be:

  • To formulate and implement work flows to streamline product approval and to formulate detailed risk disclosure guidelines for investment products approved for retail distribution.
  • To provide product sales guidance for target customer segment.
  • To work with Personal Banking Division Risk & Compliance Team to set up and maintain sound investment product suitability framework and system logic for online offering platform (i.e. Cyberbanking).
  • To ensure product suitability framework is in accordance with all relevant product regulatory requirements and ongoing regulatory development for retail channel.
  • To work closely with relevant Divisions/Departments on product due-diligence and product-related matters.
  • To assist the department in keeping abreast of all relevant regulatory requirements and assessing the impact on business and operation.
  • To monitor the quality of product due diligence and to assess the appropriateness of assigned product risk ratings for retail customer distribution.
  • To identify gaps, enhance and perform regular reviews on work flows of conducting product due diligence, risk classification, approval application, on-going review and product compliance related matters.


  • University graduate with strong academic background, preferably attained relevant professional qualifications (CFA and CFPCM preferable).
  • Minimum of 10 years of relevant working experiences, preferably with exposure in the business of retail investment product distribution
  • Technical knowledge on major investment products, including equity or currency linked structured products, mutual funds, corporate bonds and common option strategies
  • Thorough understanding of product due-diligence & development, risk assessment and selling related regulatory requirements
  • Good analytical, presentation and interpersonal skills with experience of cross departmental projects
  • A team player with good risk awareness and willing to work under pressure
  • Good command of spoken and written English and Chinese.

Salary: HKD 900,000 to 1,100,000

More job information
Job ref no. CT3129381-01#0086
Job Function
Employment Term
  • Permanent
  • Full-time
  • 10 years - 15 years
Career Level
  • Middle management level
  • Degree