Manager, Wealth Management Compliance Advisory
About Mox
Mox is built by and for the ones who aspire to live life to the fullest – we call them Generation Mox! The name Mox reflects the endless opportunities we can create, - Mobile eXperience; Money eXperience; Money X (multiplier), eXponential growth, eXploration… it’s all up for us to define together.
Why Mox
Everything at Mox – from our products, features, to rewards – is designed based on customer research, tailor made for your needs. We care about what customers care about, especially in data security and privacy. Data ethics is core to everyone here at Mox.
Mox rewards you with an array of banking and lifestyle benefits. Who says banking can’t be fun?
Who are we looking for?
We are looking for a Manager, Wealth Management Compliance Advisory.
Responsibilities
- Provide compliance advisory to Investment and Insurance Business and/or support units on all relevant compliance issues and to liaise with regulators.
- Support licensing applications for insurance and digital asset, manage Compliance policies and standards updates, licensing matter, continuous professional training, outsourcing and other regulatory compliance work in the team.
- Manage regulatory changes process including dissemination, tracking regulation implementation, perform gap analysis and other follow up actions to ensure the Bank complies all applicable Group requirements and regulatory requirements.
- Handle and advise on regular submissions / ad-hoc surveys, regulatory information request / enquires / inspection, and liaise with regulators and coordinate appropriate responses to their queries.
- Assist to review advertising and marketing materials, new product initiatives, and obtain regulators’ approval as required.
- Support the Compliance team to review and advise on customer complaints and liaise with regulators as necessary.
- Ensure prompt escalation of regulatory issues to management.
- Prepare the MIS reporting and committee materials.
- Experience in Investment, Digital Assets and Insurance business is preferable.
Requirements
- University graduate or above in any discipline.
- Minimum 5 years’ experience in regulatory compliance advisory for investment and insurance business. Preferably with an exposure in the Insurance, Digital Asset or Wealth sector.
- Posssess a comprehensive risk management mindset including compliance risk, financial crime risk, credit risk, fraud risk and operational risks, etc.
- Good knowledge of laws and regulations applicable to banks relating to investment and insurance, good analytical skills and incident management experience.
- Sound business acumen, able to make judgment independently with strong sense of ownership.
- Excellent analytical skills and meticulous to details.
- Above all, possess an “can-do” attitude and willing to challenge the status quo.