873 Banking Advisor jobs in Hong Kong

Investment Banking Compliance Advisor

$80000 - $200000 Y Societe Generale

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Job Description

Reference 25000IFU

Responsibilities
Advisory and Regulatory Interpretations

  • Provide day-to-day compliance advisory to ECM, Corporate Finance, Syndicate, and Coverage teams on HK specific regulations
  • Interpret and advise on the SFO, Listing Rules, Takeovers Code, and sponsor regime under the SFC's Code of Conduct and Listing Rules
  • Disclosure obligations, handling of inside information, pre-deal soundings and wall crossing protocols.

Transaction Oversight

  • Support due diligence, bookbuilding, and underwriting processes by ensuring adherence to regulatory and internal policies.
  • Monitor conflicts of interest, related party transactions, and independence requirements in sponsor and underwriting roles.
  • Participate in deal committees and conduct independent compliance reviews on IPSs, placings, rights issues, M&A, and privatizations.

Regulatory Engagement

  • Assist in handling SFC and HKEX enquiries, regulatory filings, or investigations related to ECM transaction.
  • Liaise with legal, risk, and control room teams to manage deal disclosures, leak management, and blackout lists.

Policy Development and Training

  • Draft, maintain, and deliver ECM compliance policies and procedures specific to HK
  • Deliver targeted training to bankers, syndicate, and support staff on HK Takeovers Code, market conduct, and IPO sponsor duties.

Governance and Control

  • Monitor and test compliance with key controls around deal approval, wall crossing, material non-public information (MNPI) and research analyst independence.
  • Maintain records to demonstrate compliance with due diligence guidelines and sponsor independence requirements.

Required
Profile required
Education and Experience

  • Bachelor's degree in law, Finance, Legal qualifications are a plus
  • Substantial relevant experience in ECM Compliance, Legal or Regulatory Advisory, preferably within a global investment bank or HK Law firm.
  • Strong working knowledge of all the investment banking related regulations

Skills & Competencies

  • Deep understanding of equity capital markets deals structures, lifecycle, and transactions risks
  • Strong analytical and problem-solving skills s with high attention to detail.
  • Excellent communication and interpersonal skills, able to deliver clear advice under pressure
  • Fluent in English
  • Proven ability to work independently and collaboratively with multiple stakeholders across functions
  • Comfortable in a fast-paced and dynamic deal driven environment

Behavioral Skills
HKMA Enhanced Competency Framework (ECF) certification is preferred

  • Client - Risk: I strive to satisfy clients while taking into account risks for the company
  • Client - Understanding and Respect: I listen to clients and colleagues in order to understand and anticipate their needs
  • Team Spirit - Conflict Management: I deal with conflicts proactively and in a positive mode
  • Innovation - Simplification: I make things & ideas simple
  • Responsibility - Risk awareness: I am constantly on the lookout for risks
  • Commitment - Sustainability: I strive to develop my skills and knowledge

Diversity, Equity & Inclusion (DE&I):
Our mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

Our vision:

  • Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
  • Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
  • Engage our community and marketplace, and position the organization to meet the needs of all its clients

Check out our DE&I initiatives:

Hybrid Work Environment:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs

Department Description
SG HK Compliance Department is seeking a highly motivated and knowledgeable ECM Compliance Officer to support our Equity Capital Markets (ECM) and Investment Banking teams in HK.

The role will provide the successful candidate with a unique opportunity to apprehend the various Investment Banking businesses of a top-tier European bank and will be evolving at the forefront of regulatory developments. The position will involve the opportunity to contribute to the build-up and growth of the ECM and M&A franchise and will be in constant interaction with senior management, business lines, and various compliance teams. It is suitable for candidates with appetite for exciting challenges from transforming projects, day-to-day production and advisory components of a role at senior level.

The Investment Banking Compliance Advisor reports hierarchically to the APAC Head of GLBA (Global Banking and Advisory business line) Compliance Advisory and Control Room and primarily supports Investment Banking business, ECM and M&A (IBD), within GLBA (Global Banking and Advisory).

In this capacity, the role includes the support of growth projects in the IBD area, with a leadership mandate to establish the compliance support framework for the new / developing activities, including but not limited to the establishment of ECM franchise in Hong Kong.

Business insight
Our Culture:
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.

Please visit our APAC career website: for more information.

Diversity and Inclusion
We are an
equal opportunities employer
and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and
promoting all talents
, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

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Investment Advisor, Private Banking

$1200000 - $2400000 Y CMB Wing Lung Bank Limited

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Job Description

Responsibilities

  • To provide customized asset allocation and product recommendations for high-net-worth clients to meet their needs
  • To analyze the investment portfolios for high-net-worth clients, review their existing assets with market conditions, and provide feasible solutions based on their risk tolerance
  • To provide market updates, research, briefings, and guidance to relationship managers to enhance their market knowledge and sales skills

Requirements

  • Degree holder in Business Administration, Finance or related discipline
  • At least 8-10 years experience in investment advisory service with good knowledge of investment products
  • Fluency in English and Cantonese, Putonghua will be an advantage
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Insurance Product Advisor, Private Banking

$104000 - $130878 Y PI Business Consulting Limited

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Job Description

Duties:

  • Formulate and implement insurance related sales and marketing plans aiming to assist the achievement of Private Bank target.
  • Support frontline staff by providing pre-sales insurance portfolio consultation and post-sales review services to their clients.
  • Contribute to the growth of the high-net-worth segment by providing premium private banking client services
  • Train up and raise the professionalism of frontline staff in insurance market information, product knowledge and portfolio review skills and technique.

Qualifications:

  • University graduate
  • Passes in the Insurance Intermediaries Qualifying Examinations
  • Minimum of 8 years' experience in selling insurance products
  • Strong sales and customer orientation, with good communication and interpersonal skills
  • Proficiency in both English and Chinese, with proficiency in Putonghua an advantage
  • High level of customer centricity mindset with dedication to deliver exceptional quality services for customers
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AVP / VP, Client Advisor - Private Banking

$80000 - $120000 Y Taishin International Bank Co Ltd

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Job Description

Responsibilities:

  • Develop new customers and expand banking business
  • Maintenance and management of customer relationships
  • Meet customer needs, regularly review customer asset allocation
  • Sell financial products that meet customer needs

Requirements:

  • Bachelor degree in Finance or Business Administration, or related disciplines.
  • CFA or ECF-PWM Qualification is preferable
  • Minimum 5 years' relevant experience in finance and banking industry
  • Good command of written and spoken English, Cantonese and Mandarin
  • This position is in scope for the Mandatory Reference Checking Scheme. For the details of the scheme, please refer to the website from The Hong Kong Association of Banks:

Interested parties please send your FULL RESUME with present & expected salary to

Manager, Human Resource

Taishin International Bank, Hong Kong Branch

6/F, Tower 5, The Gateway,

15 Canton Road, Tsimshatsui.

Data from employment applications will be kept confidential and used only for the purpose of selection. Applications not being contacted within 2 months may consider their applications unsuccessful. Our Bank will retain the applications for a maximum of one year for future suitable openings.

This advertiser has chosen not to accept applicants from your region.

AVP / VP, Client Advisor - Private Banking

$100000 - $500000 Y Taishin International Bank Co Ltd

Posted today

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Job Description

Responsibilities:

  • Develop new customers and expand banking business
  • Maintenance and management of customer relationships
  • Meet customer needs, regularly review customer asset allocation
  • Sell financial products that meet customer needs

Requirements:

  • Bachelor degree in Finance or Business Administration, or related disciplines.
  • CFA or ECF-PWM Qualification is preferable
  • Minimum 5 years' relevant experience in finance and banking industry
  • Good command of written and spoken English, Cantonese and Mandarin

Interested parties please send your FULL RESUME with present & expected salary to

Manager, Human Resource

Taishin International Bank, Hong Kong Branch

6/F, Tower 5, The Gateway,

15 Canton Road, Tsimshatsui.

Data from employment applications will be kept confidential and used only for the purpose of selection. Applications not being contacted within 2 months may consider their applications unsuccessful. Our Bank will retain the applications for a maximum of one year for future suitable openings.

This advertiser has chosen not to accept applicants from your region.

SVP, Senior Client Advisor, Private Banking

$120000 - $1500000 Y UOB

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Job Description

About UOB
United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia Pacific, Europe and North America. In Asia, we operate through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia and Thailand, as well as branches and offices. Our history spans more than 80 years. Over this time, we have been guided by our values – Honorable, Enterprising, United and Committed. This means we always strive to do what is right, build for the future, work as one team and pursue long-term success. It is how we work, consistently, be it towards the company, our colleagues or our customers.

Job Description

  • Building, developing and maintaining long term client relationships by drawing on your strong personal contact network.
  • Identifying clients' needs and providing them with appropriate advice on wealth management and investment solutions based on CIO/House view.
  • Achieving net new money and revenue targets.
  • Partner with Investment Advisor to implement investment advice in a proactive manner.
  • Partner with Client Advisor Assistants to deliver excellence in execution for client queries and transactions.
  • Working closely with the Team Leader to implement market-focused strategies as well as to meet quantitative and Balanced Score Card targets
  • Keep abreast of products and market developments.
  • Comply with all regulations, policies and standards, contribute to an effective risk culture.
  • Strictly adhere to UOB Code of Conduct and complete trainings required by UOB as well as fulfil annual Continuous Professional Development ("CPD") hours requirement.

Job Requirements

  • Recognized university degree with minimum 7 years of relevant experience in Wealth Management.
  • Type 1 and 4 licensed.
  • High calibre performers with proven track record in client acquisition, growing AUM and revenue.
  • Solid understanding of financial services and all asset classes.
  • Outstanding relationship management capabilities and communication and interpersonal skills with a customer-focused mindset.
  • Sales-driven, results-orientated and ability to work under pressure.
  • Strong networking skills and an excellent ability to connect with people.
  • Ability to control risks. Cognizant and compliant with regulatory requirements and the Bank's policies.
  • Holder of ECF on Private Wealth Management (PWM) accredited by Private Wealth Management Association (PWMA) is preferred
  • This role is in scope for the Mandatory Reference Checking (MRC) Scheme. For details of MRC, please refer to the link from The Hong Kong Association of Banks -

Additional Requirements
Develop, Engage, Execute, Strategise

Be a Part of the UOB Family

UOB is an equal opportunity employer. UOB does not discriminate on the basis of a candidate's age, race, gender, color, religion, sexual orientation, physical or mental disability, or other non-merit factors. All employment decisions at UOB are based on business needs, job requirements and qualifications. If you require any assistance or accommodations to be made for the recruitment process, please inform us when you submit your online application.

Apply now and make a Difference

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AVP, Investment Consultant/Investment Advisor-Private Banking/WealthManagement

$1200000 - $2400000 Y Asia Progress Executive Limited

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Job Description

Our client is Corporate Banking.  To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team

Assistant Vice President, Investment Consultant/Investment Advisory , Private Banking/ Wealth Management

Responsibilities:

  • Work closely with Relationship Managers to provide expert financial advice and investment strategies to high net-worth clients, ensuring their portfolios align with their investment objectives, financial goals and risk tolerance
  • Experienced in asset allocation, capable of conducting overall economic analysis and in-depth cross-asset analysis
  • Based on analysis of market trends and economic data, provide professional and comprehensive investment advice and recommendations about clients' bespoke portfolio allocation across a variety of investment instruments to achieve their healthy target returns for future wealth planning
  • Conduct regular performance reviews with clients, provide relevant strategic investment recommendations, assess and mitigate investment risks
  • Plan market outlook and asset allocation strategies proactively and regularly, provide Model Portfolio planning strategies for different risk attribute customer groups
  • Equip with knowledge and experience in varieties of investment products, especially alternative investments, to be able to make allocations in portfolio suitable for clients.
  • Facilitate the transaction process of investment products recommended to clients.
  • Ensure compliance of local regulatory requirements and internal control and policies of the Bank
  • Handle ad hoc projects as assigned.

Requirements:

  • Bachelor's degree or above in Business/Finance or related discipline
  • At least 5 years' relevant work experience in investment consultant in private bank/Wealth Management
  • Strong analytical skills and familiar with various and major investment products in the market and be able to apply it in asset allocation. Experience in alternative investments and discretionary investment portfolio is preferred.
  • Relevant Individual with Type 1 and Type 4 licenses
  • Excellent communication, interpersonal and presentation skills
  • Good team player, self-motivated with strong customer service mindset
  • Proficient in written and spoken English and Chinese (Mandarin & Cantonese)
  • Holder of CPWP, CFA or CFP would be an advantage

If you're interested, please don't delay and click APPLY NOW; or for more information, you can reach out to Dolly Chan at OR office with your resume.

Please send full resume with present & expected salary to expedite sourcing in MS-WORD format by clicking "APPLY NOW"

Please quote our reference in your application

Personal data provided by job applicants will be used strictly in accordance with the employer's personal data policies, a copy of which will be provided upon request

All information provided will be used for recruitment purpose only

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Private Wealth Advisor - Private Banking and Trust Services(HK)

Hang Seng Bank

Posted 1 day ago

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Job Description

Private Wealth Advisor - Private Banking and Trust Services (HK)

Join to apply for the Private Wealth Advisor - Private Banking and Trust Services (HK) role at Hang Seng Bank .

Hang Seng's Private Banking provides services for people who have successfully built their asset base and now want to place their wealth in the hands of experts who know how to nurture it.

Our banking services and products are bespoke, ranging from tailored investment advice and capital solutions to holistic health and personal protection and trustee services. Our team offers professional wealth management advice at both a local level and on a global scale.

Should you join our Private Banking business, you will focus on building close relationships with our high-net-worth customers, providing professional advice and premium service to them and contribute to the profitability of the Bank.

We are currently seeking a high caliber professional to join our team as Private Wealth Advisor , reporting to Head of Private Wealth Advisory.

Principal Responsibilities
  • Formulate and implement insurance related sales and marketing plans aiming to assist the achievement of Private Bank AOP target.
  • Support frontline staff by providing pre-sales insurance portfolio consultation and post-sales review services to their clients.
  • Contribute to the growth of the lucrative high-net-worth segment by providing premium private banking client services
  • Train up and raise the professionalism of frontline staff in insurance market information, product knowledge and portfolio review skills and technique.
  • Provide ongoing education to frontline staff on the most up-to-date regulatory requirements and compliance measures relating to the selling of insurance/investment products
Requirements
  • University graduate
  • Passes in the Insurance Intermediaries Qualifying Examinations
  • Minimum of 6 years' experience in selling insurance, investment and banking products
  • Strong sales and customer orientation, with good communication and interpersonal skills
  • Strong self-motivation and ability to work under pressure
  • Proficiency in both English and Chinese, with proficiency in Putonghua an advantage
  • High level of customer centricity mindset with dedication to deliver exceptional quality services for customers
  • Professional qualifications such as Enhanced Competency Framework (ECF) and/or Certified Banker (CB) under Hong Kong Institute of Bankers (HKIB) would be an advantage.

The employment is subject to Mandatory Reference Checking Scheme (MRCS) as per regulatory requirement. For details, refer to Hong Kong Monetary Authority - Mandatory Reference Checking Scheme.

You’ll achieve more when you join Hang Seng Bank Limited.

Issued by Hang Seng Bank Limited.

Seniority level
  • Mid-Senior level
Employment type
  • Full-time
Job function
  • Finance and Sales
Industries
  • Banking
#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.

Family Office Advisor, Private Banking and Wealth Management Department

$900000 - $1200000 Y CMB Wing Lung Bank Limited

Posted today

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Job Description

Responsibilities:

  • Cultivate and maintain long-term relationships with UHNW families and family offices.
  • Create and execute strategic plans for client book development to drive asset growth.
  • Organize and support client events including seminars and workshops to UHNW families and family offices.
  • Work with external professionals (accountants, lawyers) to deliver integrated solutions.
  • Provide coaching and industry updates related to family office business to Relationship Mangers.
  • Ensure compliance of both general and anti-money laundering and anti-terrorist financing compliance controls in accordance with the Bank or regulatory standards and policies.

Requirements:

  • Bachelor's degree or higher, preferably in finance, accounting, taxation or law.
  • Minimum of 5 years in tax planning or consulting.
  • Strong foundation in tax or finance, with familiarity in domestic and international tax systems
  • Knowledge of wealth management, family office services and wealth planning.
  • Ability to understand legal, political, tax and economic factors affecting client situation.
  • Proficiency in both written and spoken English, Chinese and Putonghua
  • Self-motivated and strong interpersonal skills
  • Proficient in PC skills.
This advertiser has chosen not to accept applicants from your region.

Private Wealth Advisor - Private Banking and Trust Services(HK)

Hong Kong, Hong Kong Hang Seng Bank

Posted 4 days ago

Job Viewed

Tap Again To Close

Job Description

Private Wealth Advisor - Private Banking and Trust Services (HK)

Join to apply for the Private Wealth Advisor - Private Banking and Trust Services (HK) role at Hang Seng Bank .

Hang Seng's Private Banking provides services for people who have successfully built their asset base and now want to place their wealth in the hands of experts who know how to nurture it.

Our banking services and products are bespoke, ranging from tailored investment advice and capital solutions to holistic health and personal protection and trustee services. Our team offers professional wealth management advice at both a local level and on a global scale.

Should you join our Private Banking business, you will focus on building close relationships with our high-net-worth customers, providing professional advice and premium service to them and contribute to the profitability of the Bank.

We are currently seeking a high caliber professional to join our team as Private Wealth Advisor , reporting to Head of Private Wealth Advisory.

Principal Responsibilities
  • Formulate and implement insurance related sales and marketing plans aiming to assist the achievement of Private Bank AOP target.
  • Support frontline staff by providing pre-sales insurance portfolio consultation and post-sales review services to their clients.
  • Contribute to the growth of the lucrative high-net-worth segment by providing premium private banking client services
  • Train up and raise the professionalism of frontline staff in insurance market information, product knowledge and portfolio review skills and technique.
  • Provide ongoing education to frontline staff on the most up-to-date regulatory requirements and compliance measures relating to the selling of insurance/investment products
Requirements
  • University graduate
  • Passes in the Insurance Intermediaries Qualifying Examinations
  • Minimum of 6 years' experience in selling insurance, investment and banking products
  • Strong sales and customer orientation, with good communication and interpersonal skills
  • Strong self-motivation and ability to work under pressure
  • Proficiency in both English and Chinese, with proficiency in Putonghua an advantage
  • High level of customer centricity mindset with dedication to deliver exceptional quality services for customers
  • Professional qualifications such as Enhanced Competency Framework (ECF) and/or Certified Banker (CB) under Hong Kong Institute of Bankers (HKIB) would be an advantage.

The employment is subject to Mandatory Reference Checking Scheme (MRCS) as per regulatory requirement. For details, refer to Hong Kong Monetary Authority - Mandatory Reference Checking Scheme.

You’ll achieve more when you join Hang Seng Bank Limited.

Issued by Hang Seng Bank Limited.

Seniority level
  • Mid-Senior level
Employment type
  • Full-time
Job function
  • Finance and Sales
Industries
  • Banking
#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.
 

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