Based on the requirements of regulatory bodies and the management of the Branch, he/she shall promote, organize and establish the Branch’s framework of compliance policies and institutions, including regulatory compliance policies, compliance management rules, violation reports and punishment measures, and supervise their implementations.
He/she shall formulate compliance standards, plans and objectives, streamline compliance processes and draw up compliance staffing and authorization system.
He/she shall pay attention to the latest development of regulatory laws, regulations and rules, follow up the management systems of the Head Office and other relevant units, accurately grasp relevant themes and analyze their impacts on the Branch’s operation, including but not limited to HKMA SPM and Circular, SFC circulars and etc. He/she shall also timely revise the Branch’s systems and processes accordingly as well as provide suggestions on compliance for the Branch Management.
He/she shall utilize relevant sources of the Branch and the external to fully understand, supervise and complete any periodical and non-periodical reports, statements, evaluation, assessment, investigation, application and filing matters required by the Hong Kong Monetary Authority (“HKMA"), the Securities and Futures Commission (“SFC"), the Companies Registry (CR) and other regulators and government departments.
He/she shall take charge of identifying and managing the Branch’s compliance risks，conduct regular or irregular compliance evaluation and investigation on all of the Branch’s businesses and submit evaluation reports to the Branch Management.
He/she shall participate in evaluation on the Branch’s new products, take charge of compliance risk evaluation and submit evaluation reports.
He/she shall coordinate the reporting to and communication with the Head Office in regard to compliance, and keep close contact with HKMA, SFC and other local regulators. When necessary, he/she shall assist in the Branch’s communication with SAFE, CBRC, People’s Bank of China and other institutions.
Responsible for IS Guideline/Communication with HKMA and SFC/New compliance supervisory trends analysis/ISDA/FATCA issues.
Bachelor or above degree, Major in law preferred.
Familiar with the operating rules and regulatory requirements of the local financial market, operations of local financial institutions and knowledge about relevant financial products.
Minimum 3 year of working experiences in the relevant field. Working experience in local regulators, or the compliance departments of commercial banks and investment banks is preferred.
Good at organizing, coordinating and communicating.
Fluent Cantonese, good oral and written English required, and Mandarin preferred.
Good at Office software applications.
We offer competitive remuneration package and comprehensive fringe benefits including medical and life insurance, and different types of allowances to the right candidates. Interested parties, please email your application to firstname.lastname@example.org. For details, please visit our website http://www.bochk.com
Data collected would be used for recruitment purposes only. Applicants who do not hear from us within 8 weeks may consider their application unsuccessful and their data will be destroyed within 24 months of receipt.