Description

1. Assist the team in providing compliance advisory in relation to licensing, investment, custody, trustee, insurance and different business units to ensure the adherence to internal compliance control and relevant legal and regulatory requirements
2. Review and enforce compliance programs in accordance with the policies and guidelines of the bank and regulatory bodies;
3. Handle enquiries from regulators such as HKMA/SFC/IA/DPB and coordinate onsite/offsite/ad -hoc surveys;
4. Conduct regular and ad-hoc compliance reviews and self-assessments;
5. Assist in compliance-related projects, initiatives, and system launch/enhancement;
6. Keep track of key regulatory changes and notify relevant units/divisions;
7. l Deliver and provide internal trainings on compliance related issues;

1. Degree holder in Finance, Law, Accounting, Business Administration or related disciplines;
2. At least 7 years' experience in general compliance, experiences gained from banking or financial sector is preferred;
3. Sound knowledge in HKMA/SFC related regulations, guidelines and practices;
4. Self-motivated with good communications skills, able to work under pressure with tight time schedule; Proficient in both spoken and written English and Chinese (including Putonghua);