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Experienced professionals in compliance in asset and wealth management
Financial services
Description of Tasks

Experienced compliance professionals in asset and wealth management with expertise in (i) compliance risk management; (ii) establishing, implementing, monitoring and reviewing compliance policies, procedures and standards to ensure the adherence of businesses to relevant regulatory requirements; (iii) handling requests from regulators; and (iv) providing compliance advice and training to management and operational departments.

Qualification Requirements

  • A relevant bachelor’s degree in commerce, finance, business administration, economics, accounting, law or other relevant programmes and received on-the-job training and industry courses and programmes; or
  • At least 3 years of relevant compliance experience in asset and wealth management firms or professional firms specialised in asset and wealth management; knowledge in finance and relevant rules, regulations and guidelines of regulatory authorities including those of Hong Kong; and relevant language skills.

Enquiry on the Profession

Financial Services and the Treasury Bureau