• Report to Head of Legal and Compliance and advise management and relevant business units on compliance issues related to investment products, corporate business, wealth management & private banking
• Establish compliance programs to ensure operations are in compliance with regulatory requirements
• Develop, update, review and provide inputs on compliance policies and guidelines
• Conduct regular compliance reviews and checking on client investment suitability management, staff dealing, individual and corporate licensing,  account-opening, etc.
• Liaise with local regulators such as SFC, HKMA
• Promote compliance awareness and culture of the bank, by developing and delivering compliance trainings
• Perform ad-hoc compliance related projects

Requirements

• Bachelor degree or above in law, finance, accounting or related disciplines
• Minimum 6 years of compliance experience in banking industry
• Well-versed with rules and regulations related to banking and financial institutions
• Sound knowledge in regulators’ requirements and regulated activities
• Good understanding on banking operations and familiar with investment products such as equities, collective investment scheme, derivatives, structured products, etc.
• Good analytical, interpersonal and communication skills
• Fluent in Mandarin and English