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Job ref no.: Senior Officer, Compliance
Dah Sing Financial Group

Senior Officer, Compliance

Dah Sing Financial Group

Job Purpose:

  • To assist Group Compliance Division in discharging the duties of ensuring the Bank’s compliance with rules, regulations and guidelines issued by regulatory bodies on e.g. data privacy, deposit protection, Code of Banking Practice, investment, insurance and Mandatory Provident Scheme ("MPF") products selling etc.
  • To assist Group Compliance Division in promoting bank wide compliance culture by promoting and delivering compliance mindset to internal business partners through policies and procedures setting, new business development, regulatory compliance briefing and training.

Main Responsibilities:

  • To review data privacy, deposit protection, Code of Banking Practice, investment, insurance and MPF related documents, workflow, procedures and guidelines
  • To conduct independent compliance reviews and assessments to ensure the effectiveness and robustness of policies and controls
  • To review marketing materials
  • To review the gap analyses and self-assessments completed by business units
  • To support compliance team in preparing materials for regulatory trainings
  • To handle day-to-day compliance related tasks as assigned

Requirements:

  • Degree holder, preferably in Laws, Finance, Banking or possess related professional qualifications
  • A minimum of 3 years’ hands on experience in financial services industry preferably with compliance monitoring and testing or audit experiences in banking industry
  • Familiar with financial services related laws or regulation and operations
  • Analytical minded, responsible, self-motivated, and meticulous.
  • Team player and able to work independently
  • Good communication and written skills in both English and Chinese.
  • Proficient in MS Word, including Word, Excel and PowerPoint

Please note that only shortlisted candidates will be notified.

 

More job information
Job ref no. Senior Officer, Compliance
Salary
Job Function
Industry
Location
  • Wanchai
Employment Term
  • Permanent
  • Contract
  • Full-time
Experience
  • 3 years - 7 years
Career Level
  • Non-management level
Education
  • Degree
  • Master's degree