Associate Vice President, Business Compliance, Chinese Securities

The Company is seeking an Associate Vice President of Business Compliance to support business activities and growth across wealth management, private banking, and financial markets. The role partners with business teams and internal control functions to implement regulatory requirements and provide practical guidance on client onboarding, product distribution, marketing, and servicing. Responsibilities include assessing new regulations, maintaining policies and governance frameworks, monitoring conduct and suitability controls, and supporting reviews of products and strategic initiatives. The successful candidate will also track remediation and control improvements and review business agreements and documentation, including materials related to financial markets activities. Candidates should hold a bachelor’s degree in law, finance, business, accounting, risk management, compliance, or a related discipline, and have at least five to six years of business or regulatory compliance experience in banking or securities. Relevant experience in securities, private banking, wealth management, capital markets, or financial markets is required, along with sound knowledge of Hong Kong regulatory requirements. Experience with regulatory implementation, governance, cross-functional projects, and financial markets products or documentation is advantageous. Strong analytical, communication, problem-solving, and stakeholder management skills are essential, as is fluency in English and Chinese.