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Job ref no.: CT3114388-01#4552

Compliance Officer, General Compliance

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Our client is a well established Bank in Hong Kong. It is now inviting high caliber professionals to join their Banking Company.

Responsibilities

  • Keep abreast of the latest development in regulatory laws, regulations and rules, follow up the management systems of the Head Office and other relevant units, accurately and timely grasp relevant themes and analyze their impacts on the Branch’s operation.
  • Promote, organize and establish the Branch’s framework of compliance policies (including regulatory compliance policies, compliance management rules, and violation reports and supervise their implementations) and assist the lines of business by reviewing their policies and procedures in compliance with applicable regulatory requirements and the Board approved policies.
  • Train staff on compliance issues and notify the business on any relevant regulatory changes.
  • Utilize relevant sources of the Branch and the external to fully understand, supervise and complete any periodical and non-periodic 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 as required.
  • Take charge of identifying and managing the Branch’s compliance risks, conduct compliance review and investigation on all of the Branch’s businesses and submit review reports to the Branch Management and Head Office on a quarterly basis.
  • Participate in evaluation on the Branch’s new products, take charge of compliance risk evaluation and submit evaluation reports.
  • Undertake compliance audits and drafting the reports.
  • Coordinate with legal counsel for preparing legal documents and obtaining legal advice and be directly responsible for providing legal comments or simple legal drafting in response to user’s requests.
  • Develop and maintain the program and implementation plan of stress-testing of Hong Kong Branch.
  • Retrieve the circulars of and respond to requests from the Hong Kong Association of Banks (the Association) and maintain Hong Kong Branch’s profile in the Association’s website.
  • Lead or assist in ad-hoc projects as required, e.g. reporting of Deposit Protection Scheme.

Requirements

Experience:

Over 5 years’ experience in related field, with necessary knowledge about regulatory rules and financial market products;

Skills/Ability:

  • Familiar with operations of local financial institutions, and the framework and duty segregations of local regulators;
  • Good organizational and communication skills with good command of both spoken and written English and Chinese; Knowledge of Mandarin preferred.
  • Proficient in MS Office applications.

Competitive package will be offered to the right candidates. If you are interested, please send your full resume with current and expected salary in Word format to us by clicking Apply Now

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More job information
Job ref no. CT3114388-01#4552
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Entry level
Education
  • N/A