Manager, Compliance
China Construction Bank
Hong Kong
4天前

Main Responsibilities :

  • Liaise with regulators (such as HKMA and the SFC) and relevant parties to facilitate
  • regulatory examinations, questionnaires, surveys, investigations, and reporting

    requirements

  • Provide internal compliance advice and implement some compliance reviews as set
  • forth in internal compliance policies and procedures, e.g. staff dealing

  • Provide general and regulatory compliance support for the bank
  • Provide compliance advisory service on pan-bank regulatory issues
  • Maintain and update compliance manuals and policies
  • Disseminate laws and regulations issued by regulators and coordinate gap analysis
  • with business units

  • Work with relevant parties to analyze the potential impact of regulatory trends and
  • developments to ensure compliance with any new regulatory changes

  • Work with group compliance to keep abreast of and adhere to the updated group
  • policies and requirements

  • Handle compliance-related head office requests and / or reporting requirements
  • Handle ad-hoc projects as may from time to time be assigned by the Division / Team
  • Head.

  • Prepare compliance reports for senior management review
  • Provide training to and promote compliance awareness among the associates
  • Provide advisory on corporate and commercial banking compliance and general
  • compliance issues to businesses and management

  • Review customer communication materials / correspondence with regulatory bodies
  • regarding corporate and commercial banking businesses and general compliance

    matters DisplayQualifications("-Degree holder in Business, Accounting, Law or related disciplines

  • Minimum 5 years' working experience in regulatory field / bank compliance with
  • hands-on experience in providing compliance advice

  • Familiar with Banking Ordinance and relevant rules, codes and guidelines issues by
  • HKMA and other regulators

  • Solid experience in general / regulatory compliance with experience dealing with
  • regulators

  • Sound knowledge of the relevant laws and regulators pertinent to bank
  • 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 Mandarin) Requirements : -Degree holder in Business, Accounting, Law or related disciplines
  • Minimum 5 years' working experience in regulatory field / bank compliance with
  • hands-on experience in providing compliance advice

  • Familiar with Banking Ordinance and relevant rules, codes and guidelines issues by
  • HKMA and other regulators

  • Solid experience in general / regulatory compliance with experience dealing with
  • regulators

  • Sound knowledge of the relevant laws and regulators pertinent to bank
  • 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 Mandarin)
  • 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.

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