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Job Description


  • Update Compliance Control Plan and Testing Programme;
  • Liaise with regulators and coordinate HKMA self-assessments, offsite review and handle requests from regulatory authorities;
  • Assist in identifying and controlling compliance risks and providing advice to business management on compliance issues;
  • Assist in drafting, updating and implementing compliance policies and procedures in response to changes in Head Office directives or local laws, rules and regulations;
  • Conduct compliance training;
  • Investigate in conjunction with business management and internal functions where necessary and handle actual and potential compliance breaches including complaints;
  • Monitor staff compliance with Personal Investment Policy, Gifts, Entertainment and Invitations Policy and Staff Outside Activities Policy;
  • Monitor compliance reports (ad-hoc and regular);
  • Coordinate internal and external audits and follow up on implementation of recommendations.



  • University graduate with major in Business Administration, Legal, Finance or Accounting;
  • 6 years+ experience in Corporate Banking Compliance and / or Central Compliance;
  • Conversant with HK Laws, HKMA and SFC regulations;
  • Good knowledge of compliance framework and financial products;
  • Excellent interpersonal and communication skills;
  • Excellent communication in written and spoken English.


Interested parties please send your detail resume in MS WORD format with current and expected salary through APPLY FOR THIS JOB.

All data collected will be used for recruitment purpose only & will be used strictly confidential.
Only shortlisted candidates will be notified.

Required: Banking / Finance, Executive

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