Job ref no.: CT3123312-01#1774

Compliance Manager (Local Regulatory Compliance Section)

Talent Pro Recruitment Company Limited

 

Responsibilities

  • To participate in the operation of Anti-Money Laundering Compliance Department
  • To provide advisory support to the retail banking business units and insurance services unit, covering the wealth management and general banking business areas
  • To provide compliance advisory support on new business/ product initiatives and sales incentive schemes of retail banking units
  • To provide compliance advisory support to business units in addressing local regulatory requirements
  • To conduct gap analysis and formalize action plan with business units to ensure the Bank’s compliance with regulatory compliance requirement
  • To monitor the implementation progress of agreed actions by business units to ensure timely compliance with the regulatory requirements
  • To assist in reviewing complaints related to investment and insurance products/ services
  • To coordinate compliance related regulatory enquiries, reporting and visitations
  • To assist in establishing and performing regular review on compliance related policies and guidelines
  • To plan and coordinate with related departments in providing appropriate compliance training to raise staff awareness
  • To assist in preparing management reporting to management
  • To take up ad-hoc projects assigned by supervisors/ management from time to time
 
Requirement
  • University graduate; or relevant professional qualification such as AHKIB, CPA, etc.
  • A minimum of 5 years’ working experience in financial services industry with compliance/ audit/ risk management experience
  • Sound knowledge in requirements from Banking Ordinance, Securities and Futures Ordinance, and regulatory requirements issued by HKMA/ SFC/ IA/ PCPD
  • A confident, efficient and effective team player with initiative and able to work independently
  • Able to exercise judgment, work under pressure and liaise effectively with the internal and external stakeholders is essential
  • Good presentation and reporting writing skills
  • Excellent command of both spoken and written English and Chinese
  • Proficient with Microsoft Office suite including Work, Excel and PowerPoint
 
To apply online, please click Apply Now.

 

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3123312-01#1774
Salary
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Middle management level
Education
  • Degree