Senior Compliance Officer, Securities Compliance
Bank of East Asia Hong Kong Full-time
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About this role
Provide specialist compliance advisory for BEA's securities and wealth management businesses, ensuring SFC regulatory compliance.
Responsibilities
- Advise securities and wealth management business on SFC regulatory requirements including conduct of business and product governance. Review marketing materials and client communications for compliance. Monitor regulatory changes and assess business impact. Conduct securities compliance training. Support SFC examinations and regulatory enquiries.
Requirements
- Minimum 6 years compliance experience with focus on SFC-regulated activities. Deep knowledge of SFO, SFC conduct requirements and product suitability rules. Experience reviewing suitability for securities and insurance products. Strong communication skills in English and Chinese.
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