- Liaise with regulators (such as HKMA and the SFC) and relevant parties to facilitate regulatory examinations, questionnaires, surveys, investigations, and reporting requirements
- Provide internal compliance advice and implement some compliance reviews as set forth in internal compliance policies and procedures
- Provide general and regulatory compliance support for the bank
- Provide compliance advisory service on pan-bank regulatory issues
- Maintain and update compliance manuals and policies
- Disseminate laws and regulations issued by regulators and coordinate gap analysis with business units
- Work with relevant parties to analyze the potential impact of regulatory trends and developments to ensure compliance with any new regulatory changes
- Work with group compliance to keep abreast of and adhere to the updated group policies and requirements
- Handle compliance-related head office requests and/or reporting requirements
- Handle ad-hoc projects as may from time to time be assigned by the Division/Team Head.
- Prepare compliance reports for senior management review
- Provide training to and promote compliance awareness among the associates
- Provide advisory on corporate and commercial banking compliance and general compliance issues to businesses and management
- Review customer communication materials/correspondence with regulatory bodie regarding corporate and commercial banking businesses and general compliance matters
- Degree holder in Business, Accounting, Law or related disciplines
- Minimum 5 years' working experience in regulatory field/ bank compliance with hands-on experience in providing compliance advice
- Familiar with Banking Ordinance and relevant rules, codes and guidelines issues by HKMA and other regulators
- Solid experience in general/regulatory compliance with experience dealing with regulators
- Sound knowledge of the relevant laws and regulators pertinent to bank
- Good interpersonal and communication skills to work with internal parties
- People-oriented and a team player
- Proficiency in both spoken and written English and Chinese (including Mandarin
Note: Candidates with more experience will be considered as Vice President.
Applicants who are not contacted within 8 weeks may consider their applications unsuccessful and their personal data will be retained by the bank for a period up to two years.
All information provided by applicants will be used for recruitment purposes only and will be used strictly in accordance with the bank’s personal data policies, a copy of which will be provided upon request.