Responsibilities:

• Identify the need for, create, establish, update and implement appropriate compliance process, systems and controls in relation to the Bank's business activities;
• Implement compliance review program by performing compliance review on business activities and operations to identify any compliance gaps with a particular focus on compliance with the rules and regulations issued by the Hong Kong Monetary Authority (“HKMA”) and Securities and Futures Commission (“SFC”) and applicable laws, and recommend necessary changes to procedures to ensure adherence to regulatory and Bank requirements;
• Maintain and review compliance policies, procedures & practice to ensure compliance with all applicable laws;
• Review and enhance the existing policies and procedures to ensure a robust, current and high quality compliance control program for supporting the Bank's business growth;
• Participate in the review and approval process for new business initiatives, and develop compliance program for monitoring new business;
• Provide ongoing guidance to business on compliance and regulatory requirements;
• Advise, support and report to the Head of Compliance, Private Banking on the identification and changes in the regulatory and compliance environment;
• Liaise with front office and support functions to evaluate and monitor implementation of control processes;
• Handle ad hoc assignments

Requirements:

• University degree holder in Law, Business, Finance or related disciplines;

• Minimum of 8 years in banking/financial services industry in regulatory compliance advice, risk management, or audit; experience with regulatory body will be an advantage. Candidate with less experience may be considered for the AVP position;
• Good knowledge in private banking operations and well versed with contemporary regulatory requirements, particularly Code of Banking Practice, SFC Code of Conduct, Banking Ordinance, Securities & Futures Ordinance, and HKMA and SFC regulations;
• Self-motivated, independent with strong communication skills;
• Professional presentation and report writing skills.

Notes to Applicants:

1. Please apply in strict confidence with full resume, academic record, current and expected salaries.
2. The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
3. Candidates with Enhanced Competency Framework (ECF): please state on the CV.