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In-House
Attorney
Finance - Banking
Min 5 yrs required
AVP / Manager, Compliance (Wealth Management) The candidate will conduct regular compliance monitoring and reviews on areas such as account opening, transactions, personal account dealing activities, etc. Will provide compliance support and advice to both frontline and back office on day-to-day operation and issues such as licensing, update of operational manuals / procedures / scripts / forms, new marketing / product initiatives, etc. Review and provide comments on marketing materials of investment and insurance products. Ensure the implemented compliance policies are updated and well maintained. Disseminate compliance-related information and publications to all relevant staff or departments. Conduct compliance training and promote compliance awareness among associates. Perform ad-hoc assignments as required.
Qualification and Experience
The candidate should have a university degree or above in law, accountancy or any related discipline. Must have 5+ years of relevant experience in banking/financial industry, preferably gained in compliance area. Knowledge of SFO and investment and insurance related regulations is required. Should be familiar with banking operations and controls as well as different products and services offered by the bank.
Reference Number: WMC0216. Send application and resume.
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