Job ref no.: CT3123312-01#1774

Compliance Manager (Local Regulatory Compliance Section)

Talent Pro Recruitment Company Limited



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