Report to Head of Legal and Compliace, and advise management and relevant business units on compliance issues related to investment products, corporate business, wealth management and private banking.
Establish compliance programs to ensure operations are in compliance with regulatory requirements.
Develop, updates and review and provide inputs on compliance policies and guidelines.
Conduct regular compliance reviews and checking on cilent investment suitability managment, staff dealing,indidvidual and corporate licensing, account opening, etc.
Liaise with local regulators such as SFC, HKMA