Identify & participate in compliance risk, conduct compliance evaluation & investigation and formulate compliance plans, standards & objectives
Assist in contact with local regulators, coordinate bank’s response to regulatory inspections and maintain reporting obligations & resolve inquiries
Track key regulatory changes, liaise compliance functions with business units
Update & improve compliance documents to ensure they reflect current regulation, industry best-practice and changes in bank’s business structure and activities
Complete periodical reports, statement, assessment and follow up with matters required by HKMA, SFC & other regulators and related business units
Requirements:
Bachelor degree or above with major in Business Administration, Finance, Accounting, Law or related discipline
Sound knowledge of relevant laws and regulations pertinent to bank
Minimum 5 years of working experience in compliance, legal or regulatory fields of financial services industry
Familiar with the operating rules and regulatory requirements of the local financial market and banking industry
Strong interpersonal and communication skills with effective time and project management skills
More experience will be considered as Senior level.
Good command of written and spoken English and Chinese (Cantonese & Mandarin)