Manager / Senior Manager, Regulatory Compliance

JOB DESCRIPTION

Department : Legal & Compliance
Position Title : Manager / Senior Manager, Regulatory Compliance
Corporate Grade : Manager / Senior Manager
Reporting to : Chief Compliance Officer and Head of Regulatory Compliance

Job Description

This position reports to the Chief Compliance Officer and Head of Regulatory Compliance to support, maintain and enhance compliance functions of the department to ensure compliant with regulatory requirements of the bank.

Job Responsibilities

1. Lead / Provide support to the Regulatory Compliance Team regarding documents, materials and day-to-day activities of the department to ensure compliant with the banking related legislation and guidelines;
2. Formulate, review and revise the bank’s manuals, policies, procedures and systems to keep abreast of new and regulatory changes in relation to banking related legislation and guidelines;
3. Coordinate and liaise with other departments to handle routine and ad hoc regulatory self-assessments, surveys and enquiries and to support dissemination of information on statutory, regulatory and internal requirements related to banking business to relevant stakeholders;
4. Support the preparation and custody of correspondences, presentations and reports between the regulators and the bank;
5. Report to Senior Management of the bank from time to time;
6. Prepare routine internal management reports;
7. Participate in ad hoc projects from time to time; and
8. Perform ad hoc tasks as assigned.

Job Requirements

1. University degree in Law, Accounting, Business, Finance or related discipline with at 5 years (Manager), and 8 years (Senior Manager) working experience in banking industry, preferably in the area of compliance;
2. Hands-on compliance experience and knowledge of related legislation and guidelines relevant to banking industries;
3. Good knowledge in banking operations, products and services;
4. Good command of both written and spoken English and Chinese; proficiency in Putonghua preferred;
5. Good analytical, problem solving, interpersonal skills and attention to details; and
6. Computer literate in Microsoft word, Excel, PowerPoint and Outlook. 

Liaison Parties

1. Subordinates : Assistant Manager, Regulatory Compliance
2. Internal Contact : All business and support units
3. External Contact : The Bank’s regulator (s), e.g. HKMA, etc.