Retail Banking - Regulatory Compliance SM/M Retail Banking - Regulatory Compliance SM/M …

Hamlyn Williams
in Hong Kong
Permanent, Full time
Last application, 13 Oct 21
$45,000-$65,000
Hamlyn Williams
in Hong Kong
Permanent, Full time
Last application, 13 Oct 21
$45,000-$65,000
Posted by:
Winifred Tsang • Recruiter
Hamlyn Williams
Posted by:
Winifred Tsang
Recruiter

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.

Responsibilities

  • 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.

 

Requirements

  • 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 w.tsang@hamlynwilliams.com for further discussions.

 

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