My client is a well-known virtual bank in Hong Kong. They are looking for a regulatory compliance senior manager/ manager to handle regulatory inquiries from external and internal parties. Candidates are required to have sound knowledge of DPS and FATCA/ CRS.
- Handle regulatory inquiries, surveys and self-assessments, including coordinating and tracking responses from relevant stakeholders.
- Coordinate and provide support in relation to regulatory on-site examinations, liaise with relevant stakeholders and ensure that remedial actions are timely and appropriately taken in line with regulatory requirements.
- Identify, communicate and track regulatory changes and provide support on a complete rule mapping exercise and gap analysis in relation to banking and wealth management business against applicable regulatory requirements and best practices.
- Provide advisory support to shared services departments (e.g. Operations, Credit, Finance, Treasury) on matters such as DPS, FATCA/CRS, and PDPO etc.
- Take up primary responsibility for compliance policies and training, including development and maintenance of a training plan, ensuring that policies reflect the latest regulatory and organisational approach changes, managing policy consultation process and communication to affected stakeholders.
- Assess, advise and handle outsourcing activities, incidents and regulatory notifications.
- Minimum 5 years of compliance experience working in the banking/ securities/ financial services industry.
- Ability to think independently escalating where appropriate, identify relevant information, exercise judgment and express views confidently.
- Proficient in both spoken and written Chinese and English.
- Excellent project management, teamwork and organisational skills.
For interested parties, please contact Winifred at +852 2777 6277 or email@example.com for further discussions.