Job Description
Responsibilities:
- Assist in monitoring the compliance risk of the Bank Group’s Greater China branches and subsidiaries (“Business Units”)
- Assist in providing advice and resolve ad-hoc compliance issues of Business Units
- Analyze and assess the potential impacts of relevant laws and regulations on the Business Units
- Review regular and other ad-hoc reports submitted by the Business Units to identify potential compliance issues, ensure conformity with the Group’s as well as regulators’ compliance requirements
- Make necessary recommendations to Business Units for improvements when necessary
- Review and comment on compliance related policies and guidelines of the Business Units to ensure to comply with Group Directives and their local regulatory requirements
- To take ad-hoc compliance related projects
Requirements:
- University graduate in Banking, Business Administration, Finance or related areas
- Minimum of 4 years’ working experience in fund house or financial services industry with compliance / audit / risk management / internal control experience
- Good understanding of banking business and operations
- Good knowledge of banking laws and regulations, preferably with exposure to Greater China regulatory requirements
- Able to work independently and have risk awareness
- Able to exercise judgment and liaise effectively with the Business Units
Candidates with more experience will be considered as “Senior Compliance Manager”