Compliance Manager (Local Regulatory Compliance Section)

Central Compliance Department

Compliance Manager (Local Regulatory Compliance Section) (Job ID: 2533)

Responsibilities

• To keep abreast with existing and new local regulatory requirements which have impact on the Bank
• To provide advisory support to the private banking & investment products departments, covering private wealth management and general banking business areas in addressing local regulatory requirements
• To provide compliance advices to human resources related matters, including licensing, S72B Managers, CPD/T and ECF issues etc.
• To provide compliance advisory support on new business or product initiatives
• To conduct gap analysis to assess the Bank’s compliance with regulatory compliance requirements
• To monitor the implementation progress of agreed actions by business units to ensure compliance with the regulatory requirements
• To coordinate compliance related regulatory enquiries, reporting and visitations
• To assist in establishing and performing regular review on compliance related policies and guidelines
• To assist in preparing management reports to management
• To handle divisional consolidation work and provide administrative support to the team
• To take up ad-hoc projects assigned by supervisors/ management from time to time

Requirements

• University graduate (preferably major in law, banking and finance, accounting); relevant professional qualification such as ACCA, CPA, etc. is an advantage
• 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 regulators (including HKMA/ SFC/ PCPD/ IA)
• A confident, efficient and independent team player with good problem solving skill
• Able to work under pressure and liaise effectively with the internal and external stakeholders is essential
• Good presentation and report writing skills
• Excellent command of both spoken and written English and Chinese
• Proficient with Microsoft Office suite including Work, Excel and Power Point

Please apply online via the BEA Careers website at https://careers.hkbea.com/psp/hcmprd/EMPLOYEE/HRMS/c/HRS_HRAM.HRS_APP_SCHJOB.GBL?Page=HRS_APP_JBPST&Action=UFOCUS=Applicant&SiteId=1&JobOpeningId=2533&PostingSeq=1 or by clicking the Apply Now button below. Kindly note that if you are a new user, you have to first create your User Profile before you can apply.

Personal data provided by job applicants will be used for recruitment purposes only and will be treated in accordance with the Bank's Personal Data Policy, which is available upon request. Applicants who are not invited for interviews within six weeks may consider their applications unsuccessful and the personal data collected will be destroyed after six months.