Responsibilities

•  To keep abreast with existing and new local regulatory requirements which have impact on the Bank
•  To provide advisory support to the private banking & investment products departments, covering private wealth management and general banking business areas in addressing local regulatory requirements
•  To provide compliance advices to human resources related matters, including licensing, S72B Managers, CPD/T and ECF issues etc.
•  To provide compliance advisory support on new business or product initiatives
•  To conduct gap analysis to assess the Bank’s compliance with regulatory compliance requirements
•  To monitor the implementation progress of agreed actions by business units to ensure compliance with the regulatory requirements
•  To coordinate compliance related regulatory enquiries, reporting and visitations
•  To assist in establishing and performing regular review on compliance related policies and guidelines
•  To assist in preparing management reports to management
•  To handle divisional consolidation work and provide administrative support to the team
•  To take up ad-hoc projects assigned by supervisors/ management from time to time

Requirements

•  University graduate (preferably major in law, banking and finance, accounting); relevant professional qualification such as ACCA, CPA, etc. is an advantage
•  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 regulators (including HKMA/ SFC/ PCPD/ IA)
•  A confident, efficient and independent team player with good problem solving skill
•  Able to work under pressure and liaise effectively with the internal and external stakeholders is essential
•  Good presentation and report writing skills
•  Excellent command of both spoken and written English and Chinese
•  Proficient with Microsoft Office suite including Work, Excel and Power Point