Responsibilities

• Assist Head of Compliance Hong Kong in their prime responsibility to comply with all relevant policies and procedures, from group guidance & local regulatory perspective, to ensure the local office has effective control framework with ongoing reviewing /testing programs in place.
• Identify and rectify control weakness through ongoing review/monitor of the control framework from group and local regulatory requirement perspective.
• Conduct all necessary regular reviews and surveillance on Compliance and controls framework, including but not limited to cross border review, sales process and investment suitability, personal account dealing, outside business interest, complaints, business activities/processes, etc.
• Prepare working papers and draft monitoring reports for review; follow up and monitor clearance of issues.
• Assist the Head of Compliance Hong Kong in handling and liaison with the HKMA.
• Assist the Head of Compliance Hong Kong in the preparation and submission of compliance/regulatory reports for management, regulators, auditors, etc.
• Assist the Head of Compliance Hong Kong in preparation of material for Compliance training.
• Conduct General Compliance and AML training, keep up to date with implementation of new or revised regulations and update bank staff of the same.
• Assist in audits and inspections, and investigations where required.
• Involvement in special work projects as and when required.
• Assist Head of Compliance Hong Kong and the Compliance team in any other work matters.

Requirements

• Degree holder with 6 - 8 years of relevant experience in general compliance and financial crime compliance, preferably in a Hong Kong private bank.
• Good interactive, communication and writing skills, and team player.
• Able to provide alternative solutions to business.
• Motivated and innovative; able to handle issues and resolve challenges in collaboration with colleagues.

If you would like to be considered for these career opportunities, please send your updated resume (in WORD format) by click “Apply Now” application.

Personal data collected will be used for recruitment purpose only.