- 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.