About the job

Reporting to the Chief Executive, HK Branch and with a functional reporting line to the Regional Head of Compliance, you will provide support to oversee and handle all compliance issues related to the HK Branch.

You will ensure the operations of the bank comply with HKMA requirements and other applicable laws, rules and regulations and will coordinate and report on all types of compliance issues to the Chief Executive. You will liaise with the regulatory body on all aspects of compliance issues in relation to HKMA enquiry and inspection review. You will liaise with external consultants on compliance related matters, and will review and update all Operations/ Compliance Manuals in relation to the operation of the bank.

You will monitor staff compliance with the policies and procedures set in the Operations/ Compliance Manuals and other applicable laws, rules and regulations and will conduct periodic reviews to ensure operational compliance with the internal policies, procedures and other applicable laws, rules and regulations. You will ensure the new hires have completed compliance training programs, and will distribute compliance related manuals to keep the marketing staff updated of any changes of requirements. You will also maintain a client complaint log and all relevant compliance records (except HR and accounting related issues).

Pre-requisites:

  • Degree holder and above in Law, Accounting, Banking or a related discipline
  • Minimum 8 – 10 years of relevant work experience in corporate banking or the financial service industry
  • Possess comprehensive knowledge of Section 72B Manager’s experience in the function of Compliance
  • Possess Enhanced Competency Framework (ECF) on AML/CFT (Professional level) under Hong Kong Institute of Bankers (HKIB)
  • Well versed in HKMA, Securities and Futures Commission(SFC) regulations and any new industry development
  • Possess strong communication, interpersonal and problem-solving skills
  • Very hands on and able to carry out all activities to the highest standard
  • Fluent in both English and Chinese is a must, Mandarin will be an advantage

 

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