AVP/Manager, Compliance Review

Main Responsibilities

• Act as independent reviewer to conduct regular/thematic compliance reviews on an on-going basis and ensure adherence to Regulatory/Head Office requirements and internal policies
• Coordinate/perform regulatory self-assessments, inspections and investigations
• Keep abreast of regulatory requirements and changes/developments in business and operation of the Bank
• Ensure the scope of regular and thematic review of the Bank can meet the regulatory focus as well as business and operation needs
• Handle ad-hoc Head Office requests and/or reporting requirements (Compliance Review related)

Requirements

• Degree holder preferably in Accounting, Law or related disciplines
• Minimum 5 years' working experience in regulatory / compliance with hands-on experience in compliance review
• Prior audit experience is highly preferable
• Familiar with the banking ordinance and rules, codes and guidelines issues by HKMA
• Solid experience in compliance review related matters, particularly in private banking sector and general banking sector
• Sound knowledge of the relevant laws and regulators pertinent to bank
• AML/CFT, wealth management products knowledge is required
• 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 Putonghua)
• Candidates with less experience will be considered as Assistant Manager

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.