Responsibilities

• To disseminate regulatory updates to relevant impacted units timely by proactively checking various sources of information, drafting broadcast emails and maintaining the regulatory log
• To work with other colleagues within Compliance Division to prepare regular reports to update management and staff members of the Bank on the latest regulatory developments
• To assist to review the Monthly Risk & Compliance Reports submitted by supporting units and take necessary follow-up actions as when needed
• To assist to review materials prepared by business units to ensure they are complied with the relevant regulatory requirements
• To perform user acceptance test on Compliance Documentary Workflow system (a database for disseminating and warehousing regulatory updates) for system enhancements
• To provide administrative/ clerical support to the Local Regulatory Compliance Section
• To provide support to the Control Room, including but not limited to maintenance and update of control room operating process, wall-crossing, maintenance of Watch/Restricted list
• To assist to handle wall-crossing requests from business units and maintain up to date insider lists
• To assist to handle the employee dealings request and perform monitoring on employee dealing activities; and
• To handle other ad-hoc tasks assigned by supervisors from time to time

Requirements

• University graduate
• Minimum of 2 years’ working experience in financial services industry, preferably with exposure to compliance/ audit/ risk management
• Strong sense of compliance and risk control
• Detail-oriented, well-organized, self-motivated and a good team player
• Proficient in MS Office (including Word, Excel and PowerPoint) and knowledge in Macro is an advantage
• Strong communication skills, excellent command of both spoken and written English and Chinese