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Senior Manager – Compliance (Bank)

Banking & Finance
Job Ref. SPGHK0232017183
Location Hong Kong
Date posted 2017-12-29

Our client, a leading banking group, is urgently looking for a Manager to join their compliance team.


Job Description:

  • Advise the senior management and relevant business units on compliance related issues
  • Provide support to business and/or supporting units in the development, implementation and regular review of policies and procedures to ensure compliance with statutory, regulatory and internal requirements
  • Provide compliance training to the bank staff on a need basis
  • Conduct risk-based compliance reviews according to the Annual Compliance Review Plan
  • Identify and evaluate regulatory compliance risk and control issues and provide recommendations for improvement
  • Compile compliance review reports to highlight major regulatory compliance issues and risk implications
  • Conduct assigned special / ad-hoc reviews
  • Coordinate regulatory onsite and offsite examinations conducted by the regulators
  • Follow up management actions / rectification actions to resolve findings identified in compliance reviews and, where required, examinations undertaken by the regulators.
  • To assist Head of Compliance Review to formulate and update compliance review related policies, programs and control procedures in accordance with regulatory rules and requirements
  • Review and monitor staff personal account dealing
  • Lead and supervise a team of subordinates/assigned staff to discharge the above functions
  • Take up ad-hoc assignments, projects and job rotation as designated by Division Head / Senior Management


Job Requirements:

  • University degree in a related discipline
  • Minimum 8 years in audit / compliance / compliance review experience in Big 4 or in banking / financial services industry
  • Proficiency in both English and Chinese, fluency in Mandarin is an advantage.
  • Proactive mind, positive working attitude and sound leadership, communication and interpersonal skills
  • Self-initiative, independent and willing to work under pressure

*** Candidate with less experience will be considered as Manager, Compliance position.

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