Compliance Manager, Brokerage & Wealth Management, Compliance
CLSA · Hong Kong
Position Description
We are seeking an experienced compliance professional to join our Wealth Management Compliance team. Reporting to the Head of Retail Brokerage and Wealth Management Compliance, this role provides regulatory and compliance oversight for the International Wealth Management business and Listed Warrant Trading activities.
This role will also assist in leading the expansion of our overseas wealth management platforms. The position will work closely with local overseas offices to establish and develop wealth management compliance operations. The successful candidate should possess strong communication skills, project management, cultural awareness, and relevant experience in managing cross-border team liaison - particularly with regions such as APAC and Europe. Compliance advisory on insurance products will be required to encompass wealth management product offerings.
Key Areas of Responsibilities
- Review, update, and draft compliance manuals, policies, and procedures in line with regulatory requirements, business changes, new product launches, and industry best practices.
- Provide expert guidance on regulatory interpretation and compliance matters for wealth management and insurance products, ensuring alignment with applicable laws and local regulations.
- Manage regional regulatory enquiries and requests, coordinate timely and effective responses, and maintain strong relationships with regulators.
- Conduct monitoring activities to assess ongoing adherence to key requirements, promptly identify and resolve compliance issues to protect the company’s interests.
- Evaluate and provide regulatory input on new business initiatives, infrastructure projects, and operational developments, ensuring compliance with best practices.
- Advise on regional expansion and collaborate with overseas offices to establish or optimise wealth management platforms in line with corporate standards and local regulatory expectations.
- Develop and deliver compliance training sessions to business units, promoting awareness and adherence to policies while fostering a strong compliance culture across the organisation.
- Identify gaps, recommend enhancements, and implement improvements in compliance procedures, monitoring processes, and overall regulatory frameworks.
Requirements
- Post-graduate degree preferred but not essential, ideally in Business, Accounting, or Law.
- Minimum 5–8 years’ relevant wealth management compliance experience in financial services, internal audit, securities exchange, or regulatory roles, including experience liaising with overseas offices in APAC and European regions.
- Sound knowledge of wealth management products, including equities, fixed income, futures, structured products, and insurance offerings.
- Strong understanding of Hong Kong regulatory requirements, awareness of international market regulations and updates (HK, SG, UK, US), and familiarity with compliance frameworks.
- Excellent analytical ability, project management, high numerical accuracy, and attention to detail
- Proven cultural awareness and ability to collaborate effectively with overseas offices and teams in different regions.
- Strong interpersonal and communication skills, with fluency in English and proficiency in Chinese (Cantonese and Mandarin).
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