Main Responsibilities
Act as independent reviewer to conduct regular / thematic compliance reviews on an on-going basis and ensure adherence to Regulatory / Head Office requirements and internal policies
Coordinate / perform regulatory self-assessments, inspections and investigations
Keep abreast of regulatory requirements and changes / developments in business and operation of the Bank
Ensure the scope of regular and thematic review of the Bank can meet the regulatory focus as well as business and operation needs
Handle ad-hoc Head Office requests and / or reporting requirements (Compliance Review related)
Requirements
Degree holder preferably in Accounting, Law or related disciplines
Minimum 5 years' working experience in regulatory / compliance with hands-on experience in compliance review
Prior audit experience is highly preferable
Familiar with the banking ordinance and rules, codes and guidelines issues by HKMA
Solid experience in compliance review related matters, particularly in private banking sector and general banking sector
Sound knowledge of the relevant laws and regulators pertinent to bank
AML / CFT, wealth management products knowledge is required
Good interpersonal and communication skills to work with internal parties
People-oriented and a team player
Proficiency in both spoken and written English and Chinese (including Putonghua) Applicants who are not contacted within 8 weeks may consider their applications unsuccessful and their personal data will be retained by the bank for a period up to two years.
All information provided by applicants will be used for recruitment purposes only and will be used strictly in accordance with the bank’s personal data policies, a copy of which will be provided upon request.
