Assistant Manager / Manager, Regulatory Compliance (Banking and Securities)

Job Description

This position reports to the Head of Regulatory Compliance and Legal Counsel to support, maintain and enhance compliance functions of the department to ensure compliant with regulatory requirements in respect of banking and securities business of the bank.

Job Responsibilities

• Provide support to the Regulatory Compliance Team and Legal Counsel regarding documents, materials and day-to-day activities of the department to ensure compliant with the banking and SFC related legislation and guidelines;
• Formulate, review and revise the bank’s manuals, policies, procedures and systems to keep abreast of new and regulatory changes in relation to banking and SFC related legislation and guidelines;
• Oversee licensing related works and advising on licensing issues on securities business;
• Coordinate and liaise with other departments to handle routine and ad hoc regulatory self-assessments, surveys and enquiries and to support dissemination of information on statutory, regulatory and internal requirements related to banking and securities business to relevant stakeholders;
• Support the preparation and custody of correspondences, presentations and reports between the regulators and the bank;
• Prepare routine internal management reports;
• Participate in ad hoc projects from time to time; and
• Perform ad hoc tasks as assigned.

Job Requirements

• University degree in Law, Accounting, Business, Finance or related discipline with at least 5 years working experience in banking and securities related industry, preferably in the area of compliance;
• Hand-on compliance experience and knowledge of related legislation and guidelines relevant to banking and securities industries;
• Good knowledge in banking and securities operations, products and services; and
• Good command of both written and spoken English and Chinese; proficiency in Putonghua preferred
• Good analytical, problem solving, interpersonal skills and attention to details
• Computer literate in Microsoft word, Excel, PowerPoint and Outlook