Vice President, Compliance, Private Wealth Management

The Company is seeking a VP, Compliance for its Private Wealth Management division. The successful candidate will be tasked with providing comprehensive compliance support to the PWM business, ensuring that all activities are in line with regulatory requirements. This includes offering day-to-day compliance advisory, reviewing and advising on business activities, products, marketing materials, and client onboarding, as well as monitoring and assessing the impact of regulatory developments. The role also involves close collaboration with front office, legal, risk, and operations teams, and participation in compliance projects and regional initiatives. Applicants for the VP, Compliance role in Private Wealth Management at the company should hold a degree in law, finance, business, or a related field, and have a minimum of 6 years' of compliance experience within private banking, wealth management, or securities firms. A strong knowledge of Hong Kong SFC regulatory requirements and the PWM regulatory landscape is essential. The role requires experience in providing compliance advisory support to front office stakeholders, as well as strong communication and stakeholder management skills. Proficiency in English and Chinese is preferred. The VP will also be expected to assist with regulatory inquiries, inspections, and internal investigations, and to support compliance monitoring, surveillance, and internal control reviews.