Director, Retail & Private Wealth Management Compliance

Key responsibilities

• The advisory of compliance issues related to the retail or private wealth management businesses.
• Assessment and identification of any new regulatory changes that might impact the firm and follow up with relevant control processes.
• Working closely with business to review the suitability framework for the investment products on the online distribution platforms and ensure its accordance with the regulatory requirements.
• Advisory of any new products, policies, transaction & business activities related to compliance and regulatory issues.
• Work closely with relevant internal and external parties on any on-going compliance projects.