Main Responsibilities
Ensure that the Bank is in compliance with external rules and regulations and internal policies and procedures, in the areas of banking compliance other than investment & insurance services.
Provide advisory & supports on banking compliance matters other than investment & insurance services.
Be the Key Compliance Contact with major stakeholders which covers all business units and service units.
Work with the relevant parties to analyze the potential impact of regulatory trends and developments to ensure compliance with any new regulatory changes with respect to matters related to banking.
Review customer communication materials / correspondence with regulatory bodies regarding banking compliance.
To ensure that all necessary banking compliance, related documentation is properly maintained and updated.
Provide training on banking compliance, and promote compliance awareness among the associates.
Liaise with the local regulators on compliance matters, including but not limited to onsite / offsite review and progress report, surveys / enquiries from regulators on banking services
Supervise the work of the banking compliance. Handle ad-hoc compliance projects upon request from his / her supervisor.
Liaise with Head Office Compliance on compliance matters.
Requirements
Degree holder preferably in Accounting, Law or related disciplines
Minimum 10 years' relevant compliance experience in financial institutions
Familiar with the banking ordinance and rules, codes and guidelines issues by HKMA
Solid experience in corporate and commercial banking compliance and general compliance in banking sector
Sound knowledge of the relevant laws and regulators pertinent to bank
In-depth understanding of regulatory framework and solid experience in dealings with regulators
Strong leadership skills with ability to initiate, drive and manage changes
Committed to maintain robust compliance culture and high ethical standards
Excellent communication and interpersonal skill
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.
