Conners Consulting Limited

Senior Investment Product Compliance / Risk Manager (Working in Investment Product Department)

Conners Consulting Limited
Salary negotiable
Posted on 30 Sep 2020

Senior Investment Product Compliance / Risk Manager (Working in Investment Product Department)

Conners Consulting Limited

Job Highlights

  • Perform regular reviews on selling work flows
  • Understand product due-diligence, risk assessment
  • Attractive Annual Packager & Career Development

Job Description

Our client, a well-known bank in Hong Kong, is looking for a high caliber to join the group.


  •  To act as the center of excellence for investment product compliance for Personal Banking Division.
  • To formulate and implement work flows to streamline product approval and to formulate detailed risk disclosure guidelines for investment products approved for retail distribution.
  • To provide product sales guidance for target customer segment.
  • To work with Personal Banking Division Risk & Compliance Team to set up and maintain sound investment product suitability framework and system logic for online offering platform (i.e. Cyberbanking).
  • To ensure product suitability framework is in accordance with all relevant product regulatory requirements and ongoing regulatory development for retail channel.
  • To work closely with relevant Divisions/Departments on product due-diligence and product-related matters.
  •   To assist the department in keeping abreast of all relevant regulatory requirements and assessing the impact on business and operation.
  •   To monitor the quality of product due diligence and to assess the appropriateness of assigned product risk ratings for retail customer distribution.
  •  To identify gaps, enhance and perform regular reviews on work flows of conducting product due diligence, risk classification, approval application, on-going review and product compliance related matters.


  • University graduate with strong academic background, preferably attained relevant professional qualifications (CFA and CFPCM preferable)
  • Minimum of 10 years of relevant working experiences, preferably with exposure in the business of retail investment product distribution cover the following:
  • Technical knowledge on major investment products, including equity or currency linked structured products, mutual funds, corporate bonds and common option strategies
  • Thorough understanding of product due-diligence, risk assessment and selling related regulatory requirements
  • Good analytical, presentation and interpersonal skills with experience of cross departmental projects
  • Experience of carrying out product due-diligence or development will be advantageous
  • A team player with good risk awareness and willing to work under pressure
  • Good command of spoken and written English and Chinese
To apply, please send your detailed resume or contact Carmen at 3955 1358 for a confidential discussion.

Only shortlisted candidates will be notified.

Applicants who are not contacted within two weeks may consider their applications unsuccessful.

All data collected will be used for recruitment purpose only & will be used strictly confidential.

Conners Consulting Limited

2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong

Tel: (852) 3996 8090       Website:

Additional Information

Career Level
Years of Experience
10 years
Job Type
Full Time, Permanent

Company Overview

About Conners

Found in 2011 by a group of professionals with wide range of networks and extensive experience in the field. We are focus on searching talent for Banking, Finance & Insurance clients in the region. We are operating by a team of sector experts to providing clients with high quality professional recruitment services. We source and select the best talent for our clients, build up trust and match most suitable job for candidates, create long term relationship with both of our clients and candidates.


Additional Company Information

Benefits & Others
Double pay, Five-day work week, Life insurance, Medical insurance, Performance bonus