Responsibilities

• To be a team member of Central Compliance Department
• To provide advisory support to the retail banking business units and insurance services unit, covering the wealth management and general banking business areas
• To provide compliance advisory support on new business/ product initiatives and sales incentive schemes of retail banking units
• To provide compliance advisory support to business units in addressing local regulatory requirements
• To conduct gap analysis and formalize action plan with business units to ensure the Bank’s compliance with regulatory compliance requirements
• To monitor the implementation progress of agreed actions by business units to ensure timely compliance with the regulatory requirements
• To assist in reviewing complaints related to investment and insurance products/ services
• To coordinate compliance related regulatory enquiries, reporting and visitations
• To assist in establishing and performing regular review on compliance related policies and guidelines
• To plan and work with relevant departments in providing appropriate compliance training to raise staff awareness
• To assist in preparing management reporting to management
• To take up ad-hoc projects assigned by supervisors/ management from time to time 

Requirements

• University graduate; or relevant professional qualification such as AHKIB, CPA, etc.
• A minimum of 5 years’ working experience in financial services industry with compliance/ audit/ risk management experience
• Sound knowledge in requirements from Banking Ordinance, Securities and Futures Ordinance, and regulatory requirements issued by HKMA/ SFC/ IA/ PCPD
• A confident, efficient and effective team player with initiative and able to work independently
• Able to exercise judgment, work under pressure and liaise effectively with the internal and external stakeholders is essential
• Good presentation and reporting writing skills
• Excellent command of both spoken and written English and Chinese
• Proficient with Microsoft Office suite including Work, Excel and PowerPoint