Regulatory Compliance Manager
Hudson Hong Kong
Hong Kong, Hong Kong
3天前
  • To serve as the Bank's primary contact point with regulators and law enforcement offices (apart from FCC related matters);
  • To provide advice and support for compliance and regulatory matters on all levels and pooling in house expertise and know how to ensure the use of best practices;
  • To support the tone from the top by providing expertise, diligence, business support and a control / challenge function in relation to banking business;
  • To participate as an independent control and challenge voice in management functions and various governance bodies and helping the Bank's management to identify and mitigate legal, regulatory and reputational risks;
  • To investigate and escalate potential instances of non-compliance of policies and procedures;
  • To ensure all license conditions and corporate compliance matters are managed;
  • To ensure that new policies meet the appropriate standard, have all the necessary sign-offs and are published and communicated in the right way;
  • To ensure that the selling activities of the Bank are appropriate and that it only markets and sells products that are suitable for the target investor base in line with the expectations of the local regulators and ensure the appropriate frameworks and policies are in place; and
  • To produce regular management information report concerning the overall compliance performance of the bank.
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