Manager, Compliance
Dah Sing Bank
Hong Kong, HK

Job Purpose :

  • To assist the Head of Group Compliance Division in discharging the duties of ensuring the Bank’s compliance with rules and regulations in relation to the wealth management activities, i.
  • e. investment, insurance and Mandatory Provident Scheme ( MPF ) products.

  • To assist the Head of Group Compliance Division in promoting bank wide compliance culture by promoting and delivering compliance mindset to internal business partners through policies and procedures setting, new business development, regulatory compliance briefing and training.
  • Key Role and Responsibilities :

  • To review investment, insurance and MPF related product / business initiative due diligence, documents, workflow, procedures and guidelines and provide compliance advice
  • To review and provide compliance advice on marketing materials
  • To review the gap analyses and self- assessments completed by business units
  • To support the Team in preparing materials for regulatory trainings
  • To handle day-to-day compliance related tasks as assigned
  • Job Requirements :

  • Bachelor degree holder, preferably in Laws, Finance, Banking or possess related professional qualifications
  • A minimum of 5 years’ hands on experience in discharging compliance function in the financial services industry
  • Familiar with financial services related laws or regulation and operations
  • Analytical minded, responsible, self-motivated, and meticulous.
  • Team player and able to work independently
  • Good communication and written skills in both English and Chinese.
  • Proficient in MS Word, including Word, Excel and PowerPoint
  • Candidate with less relevant experience will be considered for Assistant Manager, Compliance
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