Job Descriptions:

1. Identifying, assessing and monitoring compliance risks associated with the Company’s business activities.
2. On-going regulatory and compliance monitoring on applicable legislations/ regulations/ statutory codes/ circulars and guidelines and guidance notes published by the regulatory authorities which are related to or will affect the Company’s business operation and practices as an Authorized Institution (‘AI’) – a Deposit-taking Company (“DTC”);
3. Advise management and relevant business units on compliance-related issues;
4. Develop, update and review compliance policies and guidelines; On-going review and update the Company’s internal Code of Conduct to ensure strict adherence to regulatory standards;
5. Review policies and procedures prepared by other departments and provide input to ensure the compliance with applicable legal and regulatory requirements;
6. Monitoring the compliance with Company’s internal policies and procedures.
7. Prepare and follow up the implementation of annual compliance plan;
8. Handling of all correspondences with the HKMA and following up the handling of requests received from HKMA and other law enforcement agencies;
9. Preparation of compliance reports as required by the HKMA e.g. the biennial Self-Assessment of Compliance with Code of Banking Practice Report;
10. Handle compliance issues related to regulated activities, preparing AML and KYC reports;
11. Reviewing the periodic and ad-hoc banking returns to HKMA to ensure compliance with the Banking Ordinance and Monetary Statistics Ordinance and other HKMA’s related Guidelines and Manuals;
12. Reviewing the interim and annual financial disclosure to ensure compliance with the Banking (Disclosure) Rules and the Banking (Capital) Rules or handling of exemption request (if applicable);
13. Providing trainings to the Company’s staffs on compliance and AML/CTF;
14. Coordinate with HKMA and other regulatory authorities, external auditor and internal auditors for compliance related issues.

Requirements:

• Bachelor Degree in Banking, Finance or Law (higher degree preferable)
• Minimum 2 year’ experience in compliance or risk management in the banking sector
• Good knowledge of Banking Ordinance, AML and CTF Ordinance, HKMA SPMs and Guidelines
• Proficiency in English and Cantonese
• Good use of MS Office applications

We offer excellent career prospects to the right candidates. Salary will be commensurate with qualifications and experience. Interested applicants please email full resume stating the present and expected remuneration and date of availability by "Clicking Apply Now"