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Advertisement Detail: Senior Compliance Manager

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Date Posted: 4 April 2018 / Location: Hong Kong

About the job

Corporate Banking
Audit/ Internal Control
Risk Management
Hong Kong
04 April 2018
04 April 2018
You will oversee and handle all compliance issues of HK Branch by ensuring the operations of the branch comply with HKMA requirements and other applicable laws, rules and regulations.

You will coordinate and report on all types of compliance issues to the Chief Executive of the HK branch. You will liaise with the regulatory body on all aspects of compliance issues in relation to the branch operations e.g. HKMA enquiry, inspection review, etc. You will liaise with external consultants on compliance related matters, and will review and update all Operation/ Compliance Manuals. You will monitor staff compliance with the policies and procedures set in the Operations/ Compliance Manuals and other applicable laws, rules and regulations. You will conduct periodic reviews to ensure the operations comply with the internal policies, procedures and other applicable laws, rules and regulations. You will ensure new hires have completed their compliance training programs (e.g. AML, PDPO, etc.) and will distribute compliance related manuals and keep the marketing staff updated of any changes of requirements. You will train staff on compliance related matters and will maintain a client complaint log and handle complaints (if any). You will maintain all relevant compliance records (except HR and accounting related issues) and will handle ad hoc compliance issues in relation to the HK branch.
• Degree holder and above in Law, Accounting, Banking or a related discipline
• Minimum 8‐10 years of solid work experience in corporate banking or the financial service industry
• Section 72B Manager’s experiences in the function of Compliance
• Well versed in HKMA, SFC regulations and any new industry developments
• Able to ensure adherence to compliance requirements per regulated policies and practices
• A good team player with positive attitude
• Possess strong communication, interpersonal and problem‐solving skills
• Able to carry out all activities to the highest standard
• Fluency in both English and Chinese a must, Mandarin will be an advantage

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About the Company



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